assessment of records management in the university of the philippines
DESCRIPTION
A SAMPLE ASSESSMENT OFRECORDS MANAGEMENT PRACTICES IN THE UNIVERSITY OF THE PHILIPPINES TOWARD A DEVELOPMENT OF A SELF AUDIT TOOLTRANSCRIPT
A SAMPLE ASSESSMENT OF
RECORDS MANAGEMENT PRACTICES IN THE
UNIVERSITY OF THE PHILIPPINES
TOWARD A DEVELOPMENT OF A SELF-AUDIT TOOL
RECHELLE OLAGUER COMIA
SUBMITTED TO THE
SCHOOL OF LIBRARY AND INFORMATION STUDIES
UNIVERSITY OF THE PHILIPPINES DILIMAN
UNIVERSITY OF THE PHILIPPINES SYSTEM
IN PARTIAL FULFILLMENT OF THE REQUIREMENTS
FOR THE DEGREE OF
MASTER OF LIBRARY AND INFORMATION SCENCE
JULY 2015
This special problem entitled, “A Sample Assessment of Records
Management Practices in the University of the Philippines Toward a Development of
a Self-Audit Tool”, prepared and submitted by Ms. Rechelle O. Comia in partial
fulfillment of the requirements for the degree of Master of Library and Information
Science, is hereby accepted.
BENEDICT SALAZAR OLGADO
Adviser
Accepted as partial fulfillment of the requirements for the degree of Master
of Library and Information Science.
KATHLEEN LOURDES B. OBILLE
Dean
UNIVERSITY OF THE PHILIPPINES SYSTEM
SCHOOL OF LIBRARY AND INFORMATION STUDIES
UNIVERSITY OF THE PHILIPPINES DILIMAN
3/F GONZALEZ HALL 1101 QUEZON CITY, PHILIPPINES
Telephone: (632) 981-8500 loc. 2870, 2871
Telefax: (632) 981-8500 loc. 2869
E-mail: [email protected]
28 July 2015
Prof. Kathleen Lourdes B. Obille
Dean
School of Library and Information Studies
U.P. Diliman, Quezon City
Dear Prof. Obille:
After having read the special problem of Ms. Rechelle O. Comia entitled,
“A Sample Assessment of Records Management Practices in the University of the
Philippines Toward a Development of a Self-Audit Tool”, and after having made
the necessary suggestions for improvement which were incorporated in the final
draft, I recommend that this special problem be accepted in partial fulfillment of
the requirements for the degree of Master of Library and Information Science.
Sincerely yours,
EIMEE RHEA C. LAGRAMA
Reader
UNIVERSITY OF THE PHILIPPINES SYSTEM
SCHOOL OF LIBRARY AND INFORMATION STUDIES
UNIVERSITY OF THE PHILIPPINES DILIMAN
3/F GONZALEZ HALL 1101 QUEZON CITY, PHILIPPINES
Telephone: (632) 981-8500 loc. 2870, 2871
Telefax: (632) 981-8500 loc. 2869
E-mail: [email protected]
THESIS/SPECIAL PROBLEM OPEN ACCESS PERMISSION
I, Rechelle O. Comia, author of the special problem entitled “A Sample Assessment of Records
Management Practices in the University of the Philippines Toward a Development of a Self-Audit Tool”,
submitted to the UP School of Library and Information Studies as partial requirement for the degree of
MASTER OF LIBRARY AND INFORMATION SCIENCE, do hereby grant to the UP SLIS a “non-
exclusive worldwide, royalty-free license to reproduce, publish and publicly distribute copies of said
special problem in whatever form subject to the provisions of applicable laws, the provisions of the
Intellectual Property Rights Policy of the University of the Philippines and any contractual obligations”
(Art.7, Revised UP IPR Policy, June 3, 2011). Specifically, the following rights are hereby granted to the
UP SLIS:
1. to upload a copy of this work in the UP SLIS theses database and in any other of its
databases available on the public internet;
2. to publish the work in the UP SLIS Journal of Philippine Librarianship or any of its
subsequent journal publications, both in print format and online; and
3. to give open access to above-mentioned work, thus allowing “fair use” as defined in the
Intellectual Property Code of the Philippines, provided, that, I be properly acknowledged and
cited as the author of the work.
__________________ RECHELLE O. COMIA
LIMITED ACCESS AUTHORIZATION
(For Potentially Patentable Thesis/Dissertation)
TITLE: A Sample Assessment of Records Management Practices in the
University of the Philippines Toward a Development of a Self-Audit Tool
AUTHOR: Rechelle O. Comia
ADVISER: Prof. Benedict Salazar Olgado
READER: Ms. Eimee Rhea C. Lagrama
DATE SUBMITTED: 28 July 2015
DEGREE: MASTER OF LIBRARY AND INFORMATION SCIENCE
Permission is given for the following people to have access to this thesis:
Available to the general public Yes
Available only after consultation with author/thesis adviser No
Available only to those bound by confidentiality agreement No Rechelle O. Comia Benedict Salazar Olgado Kathleen Lourdes B. Obille
Student Adviser Dean
v
BIOGRAPHICAL DATA
Name : Rechelle Olaguer Comia
Date of Birth : 30 April 1986
Place of Birth : Caloocan City
Educational Attainment : Master of Library and Information Science
School of Library and Information Studies
University of the Philippines Diliman
July 2015
: Bachelor of Arts in Araling Pilipino, cum laude
Concentration: Philippine Literature and
Psychology
College of Arts and Letters
University of the Philippines Diliman
October 2007
Professional Eligibilities : Certificate of Eligibility # 10130354
Pursuant to PD # 907
Civil Service Commission
2 November 2007
Present Position : Executive Assistant I
Office of the President
University of the Philippines System
Diliman, Quezon City
October 2010 – present
Organizational Affiliation : UP Alumni Association (UPAA)
2015-2016
Member
vi
ACKNOWLEDGEMENTS
This study would not be possible without the kind help and support of my
family, friends, mentors, and colleagues.
I am deeply thankful to my adviser, Prof. Benedict Salazar Olgado, for his
support, advices, valuable comments and expert guidance throughout the course of
my study. Without his guidance, this endeavor would not be completed on time. I
am also sincerely grateful to Ms. Eimee Rhea C. Lagrama for sharing her precious
time in providing critical comments and suggestions to further improve my study.
To my friends and colleagues in the University of the Philippines who also
call for better UP services through the efficient management of records, thank you
for sharing your valuable insights and experiences. My heartfelt thank you goes to
Ate Anna, Ate Nor, Ate Dulce, Ate Loise, Ate Jo-An, Ate Agnes, Ate Remy, Ate
Grace, Ate Lorna, and of course to my OP family, especially to Ma’am Chit and
Ma’am Nette. Thank you for your patience and assistance. I am also thankful to
Shayne, Chad, and Donna for fruitful discussions and brainstorming sessions.
I am sincerely grateful to President Alfredo E. Pascual and his team for their
support and confidence in me. Their approval of my request to conduct the study in
their respective offices facilitated the completion of this study.
I am also acknowledging with profound gratitude, the full support and love of
my family – my parents, Rolando and Cecille; my siblings, Ronnel, John Rhey,
Precious May, Monica Shayne and Eloisa Marie; and of course my husband and son,
vii
Michael and Yves. You are my inspiration to keep going. I love you all from the
bottom of my heart.
Lastly, I am giving all the honor and praises to our Lord for all His blessings
and guidance for me to accomplish my goals in life.
Thank you all for being part of this endeavor.
viii
DEDICATION
To my loving husband, Michael,
whose love and support provided me the strength to achieve my dreams;
to my dearest son, Yves,
for being my ultimate source of inspiration;
and
to Nanay and Tatay,
for sacrificing everything to provide the best education for their children.
ix
ABSTRACT
For more than a hundred years as the leading university in the Philippines,
the University of the Philippines (UP) has long struggled in managing its records. A
number of studies on records management in the University confirm and illustrate
this. The results of the assessment and self-audit conducted in this study, through the
best practices of ISO 15489 and RA 9470, also suggest that same observation.
The self-audit tool measured that UP’s compliance with ISO 15489 and RA
9470 is only at the low rate of 13%. Though the University achieved 24% for partial
compliance on some of the provisions, the sum is still less than 50%. The very high
rate of non-compliance (63%) should be a wakeup call to every stakeholder of the
University that the conduct of a comprehensive study and formulation of immediate
and long-term solutions about the current status of records management in
the University are ardently needed.
Moreover, the assessment highlights that UP: (1) has no official central
records office; (2) has no established/in place records management program and
common tools; (3) has no proper documentation of the established practices; (4) is
unfamiliar with the provisions ISO 15489 and RA 9470; (5) has no systematic
staffing pattern, with few qualified records officers who are not evenly distributed
throughout its units, and constantly changing records personnel; (6) has no proper
training program for its records personnel; (7) is struggling from a number of records
issues, particularly the inadequate records storage; (8) failed to address the problems
cited in earlier studies and neglected the recommendations stated therein; and, (9)
x
has started to manage electronic records despite the current problematic management
of paper records.
Given these, the University should then exert efforts on managing its records
effectively as the problems associated with inefficient records handling deter smooth
business transactions within the University and put the vital records of the University
in peril.
xi
TABLE OF CONTENTS
Chapter Page
I. INTRODUCTION ………………………………………………..…..….. 1
Background of the Study ………………………………………..…... 1
Statement of the Problem ………………………………………..…... 12
Objectives of the Study …………………………………………........ 13
Significance of the Study …………………………………………..... 14
Scope and Limitations of the Study ………………………..……...… 15
II. REVIEW OF RELATED LITERATURE …………………………….. 17
On Records Management in UP …………...………………..…….…. 17
On Records Management Practices in Government Units and
Other Universities (Local/International) ….……………………….… 23
On the Assessment and Implementation of ISO 15489 …….....….…. 27
On Records Management Audit ………………………………….….. 30
Conceptual Framework of the Study ……...……………………..…... 30
Definition of Terms ……………………………………………….…. 33
III. METHODOLOGY………………………………………….………...... 39
Research Design .………………………………………………….…. 39
Population and Sample………………………………………….……. 40
Research Instruments ………………………………………….……... 41
Data Collection …………………………………………………..…... 43
Analysis of Data ……………………………………………….……... 43
IV. PRESENTATION, ANALYSIS AND
INTERPRETATION OF DATA ………………………...……………. 45
Profile of UP Respondents ………………………………………..….. 45
Overview on the Subject Units and its Records Management …….…. 51
The Records of the Subject Units ..…………………….……............... 59
Records Management Practices in UP …………………….…….….... 62
Management of Archival Records in UP …………………………….. 102
UP’s Compliance with the General Provisions of
ISO 15489 and RA 9470 ………………………...……..……….……. 103
Common Records Problems in UP………………………………....…. 106
Support Towards a Standard UP Records Management Program ……. 112
xii
V. SUMMARY, CONCLUSIONS AND RECOMMENDATIONS…........ 116
Summary ……………………………………………………..………. 116
Conclusions ……………………………………………………..……. 123
Recommendations ……………………………………………..……... 125
REFERENCES ………………………………………….…………………... 129
APPENDICES
I-A – Results of Self-Audit Tool ……………………………..……. 134
I-B – Proposed Self-Audit Tool ……………………………....……. 196
II – Fact File on UP Units .…………………………………...…... 199
III-A – List of documents requested from the Main Respondents …... 220
III-B – Questionnaire for Main Respondents….………………..……. 221
III-C – Questionnaire for Heads of Units ……………………..……... 229
III-D – Questionnaire for Selected Records Clients …………..……... 230
IV – Covering Letters …………………………………………....... 231
xiii
LIST OF TABLES
Table Page
1. Distribution of Respondents by Group …………………….…….…… 46
2. Distribution of Main Respondents by Unit ……………………….….. 47
3. Distribution of Main Respondents by Position Title …………………. 48
4. List of Educational Attainment of Main Respondents ……………….. 49
5. Distribution of Main Respondents by Years of Service in UP ……….. 50
6. Distribution of Main Respondents by
Years of Service as Records Officer/Personnel ………………………. 50
7. Types of Records Managed by UP ………………………………........ 60
8. Formats of Records Managed by UP (in percent) ……………………. 61
9. Records Creation Control in UP ……………………………………… 64
10. Records Registration Systems in UP …………………………………. 67
11. Elements Captured by UP During Records Registration ……………… 71
12. Classification of UP Records …………………………………………. 73
13. Records Storage Facilities in UP ……………………………………… 77
14. Status of UP Records Storage …………………………………………. 78
15. Finding Aids used by UP Units ……………………………….………. 83
16. Accommodation of Records Request in UP ………………………….. 85
17. Tracking System for Active and/or on Loan UP Records ……....…….. 86
18. Purposes of ecords Retention and Disposition Schedule in UP ………. 89
19. Records Management Tools Used by UP ………...…..………………. 93
20. Electronic Records Management in UP ……………………….……… 99
xiv
21. Perceived Records Issues of Heads of Units …………….…..……….. 107
22. Common Difficulties Experienced in Storage
and Retrieval of Records in UP .……………………………………… 109
23. Perceived Causes of Records Problems in UP ……………………….. 110
24. Perceived Status of Records Management in UP …………………….. 111
xv
LIST OF FIGURES
Figure Page
1. UP organizational chart ………………………………………………. 8
2. The eUP core systems …………………………………….………..… 9
3. Venn diagram of ISO 15489 and RA 9470 ……………….………….. 31
4. Schematic diagram on the assessment of
UP’s records management practices …………………………………. 32
5. Samples of uniform titles/codes for creation of UP records………….. 65
6. UP Document Tracking System (UP DTS) and UPLB’s DTS ………. 69
7. UP Manila’s Document Assessment and Tracking System …………. 70
8. Electronic document management system (Laserfiche)
used by OP and OSU ………………………………….……………... 71
9. UPLB-RMO’s indexing and cross-referencing system ……………… 74
10. UP’s records storage facilities and areas ……………………….……. 79
11. Securing access to UP records ………………………..………….…... 82
12. Forms used by UPLB-RMO for on loan records …………..………… 85
13. OSU records for transfer to the University Archives and
Records Depository (UARD) …………………………..…..………… 90
14. UPLB-RMO’s records transfer procedure …………………..……….. 91
15. Electronic records management in UPLB-RMO ……………..……… 100
16. The eOSU Project ……………………………………………………. 102
CHAPTER I
INTRODUCTION
Background of the Study
Records serve as the memories, the raw materials for decision-making, and
the basis of legal defensibility of an institution (Külcü, 2009) thus they are
considered one of its indispensable resources. Likewise, for a century old academic
institution like the University of the Philippines (UP), records play a vital role in its
existence. As such, the assessment of how the University handles its records through
the years is a key area of research. This is the main purpose of this endeavor: to give
the stakeholders of the University a glimpse on how it manages records in line with
prescribed standards and legal mandates such as the ISO 15489 and RA 9470.
Records and its Management
According to ISO 15489, “records are 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” (2001, p. 3). The Australia
State Records Act 1998 elaborated that a record “is any document or other source of
information compiled, recorded or stored in written form or on film, or by electronic
process, or in any other manner or by any other means” (Sec. 3[1]).
From the early form of records to its current technology-aided form, a
number of efforts dealing with its complexities have been documented in various
literatures. One major effort is the standardization of records management was
2
launched in 2001. The development of ISO 15489-1:2001 (Information and
Documentation – Records Management) highlighted the increasing international
recognition for records management. In the Philippines, an effort to promote an
effective recordkeeping, the National Archives of the Philippines Act of 2007
(Republic Act No. 9470), was passed into law in 2007. It “strengthens the system of
management and administration of archival records” (National Archives of the
Philippines [NAP], 2007, p. 1). These two regulations are considered the key tools
in assessing the records management practices in the country.
The mere presence of records means the need to have a records management
practice. Records management is the:
field of management responsible for the efficient and systematic
control of the creation, receipt, maintenance, use and disposition of
records, including processes for capturing and maintaining evidence
of and information about business activities and transactions in the
form of records. (ISO 15489-1:2001, p. 3)
Additionally, the National Archives and Records Administration (NARA) in
the United States describes it as the “planning, controlling, directing, organizing,
training, promoting, and other managerial activities involved with respect to records
creation, records maintenance and use, and records disposition in order to achieve
adequate and proper documentation of the policies and transactions” (National
Archives and Records Administration [NARA], 44 U.S.C. Chapter 29, § 2901.
Definitions). It includes:
setting policies and standards; assigning responsibilities and
authorities; establishing and promulgating procedures and
guidelines; providing a range of services relating to the management
and use of records; designing, implementing and administering
3
specialized systems for managing records; and, integrating records
management into business systems and processes. (ISO 15489-
1:2001, p. 4)
Just like other institutions, higher education institutions like UP are also
confronted with the complexities of managing its records. A way to cope with these
complexities is through an effective implementation of a sound records management
program.
Standardization of Records Management Practices
In this information age, the effort to standardize international best practices in
records management is an exigency. The ISO 15489 was the product of a collective
international effort to develop an international standard out of the Australian
Standard 4390 or AS 4390 (1996), an Australian standard for records management.
It was developed “in response to consensus among participating ISO member
countries to standardize international best practice in records management” (ISO-
15489:1-2001, Introduction).
The AS 4390 was able to capture international attention because it is already
technically sound and gives good foundation for a records management program
(Carlisle, 1997). After almost four years of developing an international standard out
of the AS 4390, the ISO 15489 was finally issued in September 2001 (Cumming,
2003). It came out in two parts. Part 1: General, contains “guidance on managing
records of originating organizations, public or private, for internal and external
clients” (ISO 15489:1-2001, Clause 1) and “elements of records management and
4
defines the necessary results or outcomes to be achieved” (ISO 15489-2:2001,
Introduction). While, Part 2: Guidelines:
…is an implementation guide to ISO 15489-1 for use by record
management professionals and those charged with managing records
in their organizations. It provides one methodology that will
facilitate the implementation of ISO 15489-1 in all organizations that
have a need to manage their records. It gives an overview of the
processes and factors to consider in organizations wishing to comply
with ISO 15489-1. (ISO 15489-2:2001, Clause 1)
In the Philippines, the RA 9470 otherwise known as the National Archives of
the Philippines Act of 2007 was issued to “empower better coordination in the
management of government records and public archives” (Official Gazette, 2009, p.
1715). The law also reorganized the National Archives of the Philippines (from the
abolished Records Management and Archives Office [RMAO]) which is the agency
in-charge of the implementation of objectives and provisions of the RA 9470. The
law is interpreted according to the Article I, Section 2 of RA 9470:
It is the policy of the State to protect, conserve, promote and
popularize the nation’s historical and cultural heritage and resources.
The State shall pursue, conserve and promote the Filipino cultural
heritage and resources including the documentary records of Filipino
culture, history and governance.
The State shall give utmost priority for the safeguard, protection and
preservation of its public documents and records, not only as
fundamental instruments for efficient and effective governance but
also as essential tools for the preservation of the country’s history
and cultural memory.
Towards this end, all public records with enduring value, held by
government offices, including, but not limited to, all branches of
government, constitutional offices, local government units (LGUs),
government-owned and –controlled corporations (GOCCs), state
5
universities and colleges, Philippine embassies, consulates and other
Philippine offices abroad shall be transferred to a permanent
government repository for proper management, control and
regulation of record disposition. (RA 9470, Article I, Section 2)
The purposes of the act are to:
- strengthen the existing system of management of public records
and administration of government archives;
- mandate government accountability to ensure that full and
accurate records of the affairs of the national and local
government units are maintained and preserved;
- enhance public confidence in the integrity of public
recordkeeping and management;
- ensure accessibility of public records relevant to the promotion
and preservation of Philippine cultural heritage; and,
- support the safekeeping of private records with archival value.
(NAP, 2007, p. 1)
The provisions of ISO 15489 and RA 9470 were the foundation of this study
in assessing the records management in the University. The use of ISO 15489
necessitated the inclusion of the RA 9470 as it prescribes the recognition of the
regulatory environment.
The University of the Philippines and an Overview of its Records Management
Practices
UP was founded on 18 June 1908 through Act No. 1870 of the Philippine
Assembly. It was mandated to “give advanced instruction in literature, philosophy,
the sciences and arts, and to give professional and technical training to every
qualified student regardless of age, sex, nationality, religious belief and political
affiliation” (University of the Philippines [UP], 2015, University History). It
celebrated its 100 years of existence in 2008. During UP’s centennial year it was
gifted with a new charter (Republic Act No. [RA] 9500) instituting UP as the only
6
national university in the country. The RA 9500 (2008, Sec. 3) mandated UP to
serve and lead as a teaching university, as a graduate university, as a research
university, as a public university, and as a regional and global university.
Being a global university, complying with international standards should be a
University concern. One important international standard for consideration is the
ISO 15489. Compliance with such standard ensures the University’s smooth
business process and to safeguard its valuable records for its continuing existence.
UP’s adherence to the RA 9470 must also be strictly monitored. Being a
government unit, the records of UP are considered public records. According to RA
9470, public records refer to:
records or classes of records, in any form, in whole or in part,
created or received, whether before or after the effectivity of this
Act, by a government agency in the conduct of its affairs, and have
been retained by that government agency or its successors as
evidence or because of the information contain therein. (RA 9470,
2007, p. 5)
Ignorance about and non-compliance with RA 9470 may jeopardize the
integrity of the University and its records personnel as it involves punishment under
the law.
The current records management practices of UP differ from one office to
another. These may be attributed to the structure of the University being a system of
seven (7) constituent universities and an autonomous campus located strategically
throughout the country. The UP campuses are UP Diliman, UP Los Baños, UP
Manila, UP Visayas, UP Open University, UP Mindanao, UP Baguio, and UP Cebu.
This system of campuses equips the University to better perform its mandate of
7
serving the nation. The constituent universities are governed by chancellors, while
the UP President manages this system of campuses (UP, 2015, Administration). The
University President is the “chief academic officer, head of the university faculty and
the chief executive officer of the University” (RA 9500, 2008, Sec. 14). The
management of the constituent university “is vested in the Chancellor insofar as
authorized by the Board and the President of the University” (RA 9500, 2008, Sec.
18).
Having a system of campuses does not exempt the University from
implementing a standard in records management throughout its campuses, as
supported by the OneUP principle. OneUP is a strategic initiative under the
administration of President Alfredo E. Pascual. It promotes change in the mindset
of the constituents of the University that they are one despite the differences in
location and specialization (Pascual, 2011). This principle intensifies the need for a
standard records management in the University. The study aims to highlight some of
the similarities on the records management practices throughout the University.
Aside from OneUP, another strategic initiative of the Pascual administration,
which may concern records management, is the eUP Project. This is the flagship
project of the Pascual administration. It seeks to integrate, harmonize, and
interoperate Information and Communication Technology (ICT) systems and
infrastructure across the UP System. This project is envisioned to bring the
University to new levels of academic and operational excellence, thus allowing UP
to be of greater service to the nation (eUP, 2012, About eUP).
8
Fig
ure
1.
UP
Org
aniz
atio
nal
Char
t
Pro
vid
ed b
y t
he
Off
ice
of
the
Sec
reta
ry o
f th
e
Univ
ersi
ty a
nd o
f th
e B
oar
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f R
egen
ts (
OS
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20
12
.
9
Figure 2. The eUP core systems.
Reprinted from eUP Project by the University of the
Philippines System, 2015. Retrieved from
http://e.up.edu.ph/components/. Reprinted with permission.
As seen in Figure 2, no comprehensive records management system was
included in the core systems of the eUP Project. Only student academic, human
resource, financial management, procurement, campus management, and executive
information systems were the systems included in the project. It may not be too late
for the administration to consider a comprehensive component in managing the
records of the University. The study also aims to inform all the stakeholders of the
10
University about the importance of a harmonized records management in the smooth
business process of the University.
At the onset of the study, the researcher was able to unfold some of the
records management issues in the University. These were based on the initial
interview conducted by the researcher during the development of a research topic.
All these issues are further discussed in Chapter IV.
Absence of a standard records management program. The state of the
records management of institutions may be viewed equivalent to the type of service
it offers. In UP, the absence of a standard records management program incites
various offices to use their own style of recordkeeping. Records managers usually
resort to developing their own master file, or by making their own records
description and file classification guide. These efforts are not documented
University-wide, hence the existence of different practices on handling of records in
UP.
Ignorance on the benefits of effective records management program. Another
daunting issue of records management in UP is the mere lack of knowledge on the
importance of an effective records management program. Records managers are not
aware of the many benefits of effective records management, resulting to passive
record management practices. They perform the task without commitment to
develop their skills and the program.
Hostile records managers. This ignorance oftentimes leads to hostile
relationship between records managers and their clienteles. They associate
11
additional records management related tasks, specifically the records management
improvement strategies, as burden. They are not motivated to enhance their skills.
Confused records managers. The absence of a standard records management
program produces confusion over records managers throughout the University. This
leads to mishandling of records. Most of the time, records with enduring value are
discarded and those short-lived records are the ones kept. The University also has a
variety of ways in organizing the records. Subjects and indexes lists depend solely
on the judgment of records managers. This produces long and duplicating lists of
subjects and indexes in the University. This confusion results to unworkable
reconciliation of the records throughout the University. Authority and accountability
over certain records are oftentimes ignored because records managers do not know
which office possesses the authority and responsibility to retain particular records.
Poor storage and retrieval practice. Aside from the failure to efficiently and
effectively organize records, the University also shows poor skills on records
retrieval and inadequate records storage facilities. The absence of standard practices
across the University makes it difficult to retrieve the right record at the soonest
possible time. Records retrieval becomes an arduous task for records personnel.
While inadequate records storage results to the University’s poor handling of
records. Records personnel are confined to manage such voluminous records in
small storage areas.
Weak motivation to move forward. Activities promoting records management
and enhancing the skills of records managers are not part of the priority programs of
12
the University. Submission to an in-house records management policy, may it be
written/non-written, is not monitored. Strict compliance to such policy is not
observed. Because of these, records managers are not inclined to submit to any
policy or guidelines and are discouraged to cope up with the fast development phase
of records.
Statement of the Problem
The study sought to assess the records management practices in UP. This
also included the measurement of UP’s level of compliance with the relevant
provisions of the ISO 15489 and the RA 9470 done through a self-audit tool
(Appendix I-A).
Moreover, the following questions were addressed by this study:
a) What are the existing records management practices in UP? Is there a
prescribed program or system used by the units?
b) What are the specific provisions of the ISO 15489 and RA 9470 that UP
are able/not able to comply with? What are the possible reasons for non-
compliance?
c) What are the tools used by UP units in dealing and assessing their
records/records management practices?
d) What are the issues confronted by the University in handling its records?
What are the possible solutions to address these issues?
13
e) Is there any effort to develop and standardize the current records
management practices? How ready is the University to standardize its
records management practices? What are the possible hurdles in
implementing said standardization? What are the views of the
administrators, records managers/personnel and records clienteles in the
standardization of records management in UP?
Objectives of the Study
The following are the objectives of this study:
1. Enumerate the records management practices of the University and
identify the program and system used in managing its records.
2. Assess the current records management practices in UP using ISO 15489
and RA 9450 as tools. This covers most of the provisions of the two
regulations which are relevant to the University. The study also uncovers
the reasons for compliance and/or non-compliance of the campuses with
the regulations.
3. List the established tools of UP units in managing its records.
4. Enumerate and discuss the issues faced by the University in managing its
records.
5. Enumerate the efforts of UP to develop and standardize its records
management practices.
14
6. Analyze the perceptions and readiness of the University stakeholders in
standardizing its records management practices.
7. Propose a self-audit tool for use of the University.
Significance of the Study
This study is an addition to the growing number of researches on records
management in the Philippines. Specifically, it contributes in the assessment of ISO
15489 for implementation in the Philippine setting. The promotion of compliance
with RA 9470, as mandated by the law, is also highlighted in this study.
The self-audit tool, which is the output of this study, benefits Philippine-
based institutions in performing audit and assessment of records management
program through international and national standards. The self-audit tool may also
be a good starting point for a more comprehensive audit tool for institutions in the
country with advance program on records management as the researcher was not
able to find a tool for Philippine-based institutions during the conduct of this
research.
More importantly, this study is most significant to UP. There are existing
researches on the records management in UP but focusing on certain units or
campuses only. This study attempts to do a holistic analysis of the records
management practices in the University by involving top-level UP offices. The
records personnel of the University who were tapped to participate in the study were
given a chance to reflect on their recordkeeping practices through the conducted
15
interview and survey. It also increases awareness and interest on the records
management in UP which may commence efforts to improve and standardize the
practice. The study is also deemed necessary to address the issues confronted by the
University in managing its records.
Also, the study may be an eye-opener for every stakeholder of the University
about the importance of records management. The effective and efficient
management of records may start to be listed in UP’s priority program, like the
possible inclusion into eUP Project in the next years.
The efforts to analyze the records management practices of UP may lead to a
major effort on its standardization. The standardized program based on
internationally and nationally accepted standards can significantly help the
University to better serve the Filipino people.
Lastly, the study also serves as reference material to other researchers,
administrators and records managers/personnel, who are dealing with the assessment
and audit of records management practices, and the implementation of ISO 15489
and RA 9470 in their institution.
Scope and Limitations of the Study
The subjects of the study included all constituent universities of UP, namely
UP Diliman, UP Los Baños, UP Manila, UP Mindanao, UP Visayas, UP Open
University and UP Baguio; UP Cebu, the autonomous college, and; the UP System
Administration (UPSA), the central administration. Only the head offices (Offices of
16
the Chancellors or Dean’s Office for UP Cebu) and the central/official records office,
if any, were included in the study. For the UPSA, the Office of the President (OP)
and the Office of the Secretary of the University and of the Board of Regents (OSU)
were included; OP being the highest decision making office in the University and
OSU as the manager of the major vital records of the University. These offices can
adequately represent the entire University for this particular study as these offices are
the heart of major business activities of the University.
As for the type of records to be analyzed, it is limited to what the subject
offices process. These records are mostly administrative in nature. These include
memoranda, administrative orders, executive orders, incoming and outgoing
communications, university policies materials, to name a few.
The researcher is aware that records management comes along with archives
management. This study primarily focuses on active, semi-active and non-active
records, hence records management was the main highlight of this study. But a brief
section on archives management was discussed in Chapter IV for a comprehensive
analysis of the life cycle of the records in the University.
CHAPTER II
REVIEW OF RELATED LITERATURE
This chapter discusses the publications and literature on records management
in UP, standardization of records management, adoption and assessment of ISO
15489, and other relevant local and foreign studies to the study.
On Records Management in UP
The UP administration exerted efforts to study the records management in the
University. One of the earliest documented efforts was through Administrative
Order No. 199, Constitution of Records Management Committee of UP, issued on 10
June 1974 by UP President Salvador P. Lopez. This committee was expected to:
1. Formulate and define a program for the disposition of official
records, and review the progress of the program;
2. Develop, publish and recommend standards and procedures for
the disposition of official records;
3. Develop and publish procedures for the survey of files and
review results of such surveys;
4. Develop, publish and recommend standards of classifying,
indexing and filing records;
5. Assist units, branches, offices, departments of the University of
the Philippines System in the development and maintenance of
classification and filing systems;
6. Prepare disposal schedules for records common to several or all
units of the University of the Philippines System;
7. Develop and administer a training program for records personnel
of the U.P. System;
8. Plan and develop a program for the records center to house
documents and papers which are to be preserved for a period of
time (retirement of records) but which need not be retained in the
units, branches, or offices of the University of the Philippines
System; and
18
9. Plan the transfer of all permanent records (archival material) to
the University Archives Section of the University Library. (UP
Gazette, 1974)
Another attempt was documented in 1977. It was initiated by President
Emmanuel V. Soriano through the help of his two Project Development Staff,
Placido M. Manalo, Jr. and Perfecto Padilla. The report was completed on 4
November 1977 entitled Program Concept and Approaches in Improving Records
Management in UP (Granda, p. 14).
It is unfortunate that the researcher was not able to obtain copies of said
reports. These would have been essential reference materials in analyzing the
records management practices in the University, particularly the implementation and
effectiveness of the proposed recommendations of these committees. However, the
researcher was able to obtain a copy of the report on records management of the
Management Review Committee – Subcommittee III on Personnel and
Administrative Services, dated 6 October 1981. It was a committee created by the
Office of the UP Vice President for Planning and Finance (OVPPF). The committee
studied the status of the management of records in the UPSA. During this time, the
records of the administration were centrally managed by the Office of General
Services (OGS). The findings of the committee were: (1) UP has voluminous
records; (2) UP has inefficient and diverse records creation practices; (3) UP
struggles from lack of space, equipment and manpower; (4) records disposition was
neglected by UP records personnel; and, (5) albeit the presence of OGS, UP units
still filed their own records in their offices, making former’s role unclear.
19
Recommendations of the committee involved the establishment of a common records
creation procedure throughout the University to regulate the fast growing number of
records, forms management, inventory of University records, transfer of OGS’s
records holdings and functions to other offices to streamline the records processes in
the University, and to abolish OGS (Office of the UP Vice President for Planning
and Finance - Management Review Committee, 1981). OGS was abolished in 1983
(UP Gazette, 1983). This committee report manifested the records issues confronted
by the University as early as 1980s. These issues are also the same findings of this
study. This exhibits how UP has disregarded state of its records management over
the years.
In 1988, President Jose V. Abueva constituted another committee to draft
rules governing access to records and documents (UP Gazette, 1988). The report of
this committee is also inaccessible.
A few directives also cited the efforts of the University to standardize its
recordkeeping system. UP President Salvador P. Lopez issued Executive Order No.
11 in 1974 to designate the University Library as the Archives of the University.
This E.O. designated the University Librarian as ex-officio University Archivist.
This was further strengthened by Executive Order No. 13 making the University
Library as the University Archives and Records Depository to ensure the
preservation of documents, records, and publications of permanent value (UP
Gazette, 1974). In 1982, UP President Edgardo J. Angara through Memorandum No.
19 instructed all units of UP to furnish at least one copy of photographs generated by
20
each unit as an addition to the Archives collections of the University Library (UP
Gazette, 1982). All these directives aim to preserve the archival records of the
University if only strict compliance is enforced.
The pilot run of the first UP document tracking system (DTS) was launched
in 1976 through a memorandum order issued by the UP President. This was
perceived as an “innovation on the present messengerial functions and duties of the
University” (UP Gazette, 1976). Loyola (2001) described it as a system which
featured the use of a 9-digit alphanumeric code for every identified document, the
utilization of routing slips, and a creation of a central document tracking center. A
computerized DTS was later developed in 1999 which was employed in the Office of
the Chancellor of UP Diliman (as cited in Sueno, 2009). In contemporary years,
particularly in 2003, a University’s in-house DTS named as DocuTrak was launched
in UP Diliman units. The system used barcode labels to track the documents routed
throughout the campus. This in-house system was again revisited and upgraded with
the emergence of eUP. The new UP DTS was launched in 2014 for use of all UP
units. It still uses the barcode label system but now supports documents attachments
and with additional fields such as revisions, updates and remarks; and now open for
use of the entire UP System (UP DTS Manual, 2014). Given the efforts to develop
the UP DTS over the years, UP should have been perfected the use of one standard
DTS within the University. The study proved this assumption otherwise.
The enumerated efforts of the University to standardize and improve its
records management serve as the researcher’s benchmark in assessing the current
21
status of UP’s records management practices. It is evident that even in the 1970s, the
University has been facing a number of records issues.
Beyond UP’s effort, several researchers showed interest in assessing the
records management of the University. Granda (1981) made a survey to find out
existing practices, programs, conditions, and problems of records operation of UP,
being one of her eleven (11) subject colleges and universities in Quezon City and
Manila. Her findings include the following: (1) no definite unit to initiate the
Records and Archives Management Program, (2) dearth of regular records personnel,
(3) no definite policy or standard procedures, (4) lack of space and equipment for
records storage, (5) deficiency in mail operations, (6) absence of authority to
coordinate centralized and decentralized records management, (7) no uniform and
standard classification and filing scheme, (8) ineffective control files, (9) inadequate
plan and system of records transfer and disposal, and (10) poor records preservation.
Hortillo (1990), in her proposal, highlighted the need for a university archives
and records center for the University of the Philippines in the Visayas. She shared
almost the same observations as Granda’s, adding that records personnel have
adequate educational attainment but no formal training in records management prior
or during the course of their work. She also revealed that the campus was only 20%
ready to go electronic during the duration of her research.
In relation with computerized DTS, Loyola (2001) studied the readiness of
UP Diliman to have a common DTS for document-monitoring needs of all units of
said campus. She revealed that 79% of the administrators believed that a common
22
DTS is highly needed in Diliman but they however expressed their doubts that the
project could be successfully implemented, as there were issues on resources and
competing needs.
Ching (2003) assessed the records retention and dispositions practices of the
UP Diliman Health Service-Records Section with employee and student records as
samples. She found out that the storage problem of the unit was due to its poor
records disposal and inventory procedures. The unit was also non-conforming with
the legal retention and disposition schedule for medical records.
Another unit of the University, the Office of Student Regent (UP OSR), was
assessed by Peoro (2007). The study focused on the functional aspects of
recordkeeping, (records creation, records maintenance and control, records
protection, storage and retrieval, and records disposition and retention). His research
stressed that the unit was facing an increasing rate of lost records due to the absence
of a clear and strict policy on records management. He also added problems relating
to limited space and inadequate equipment, and the difficulty in retrieving records.
The studies of Granda, Hortillo, Loyola, Ching and Peoro have common
findings on the current state of the records management in the different units of the
University. These studies gave the researcher a partial view of the records
management in UP. All the cited studies further highlighted the poor state of
records management in the different units of the University. The findings and issues
raised in these studies helped in the formulation of assessment and observations in
this study.
23
In 2009, Sueno assessed the in-house developed document tracking system
called UP DocuTrak. She argued that the development of the system was not done
in the context of UP’s records management and it did not reflect UP’s values,
culture, business activities, accountabilities, records needs and records use. The
holistic approach was not observed during the development of the system. Because
of these, the result of her assessment revealed that DocuTrak’s quality is below the
acceptable standard. As mentioned earlier, the UP administration revisited this
system in 2014 and proposed a new DTS for use of the University. Future study on
UP DTS may focus on this newly developed system benchmarking on the study
conducted by Sueno.
On Records Management Practices of Government Units and Other
Universities (Local/International)
Universities and government units here and abroad were also assessed by a
number of studies on records management. These studies situated UP in terms of its
current records management status and confronted records issues as compared to
other similar universities and local government units.
In 1981, Nofuente conducted a survey on the records management practices
of international institutions in the Philippines. Her study revealed that a number of
records personnel were mainly concerned with the filing practices only. Other
records management functions were neglected. Records management was oftentimes
taken for granted by the staff and also by the top management of the institutions.
24
Aquino (1984) had a similar research to Hortillo’s but for another state
university, the Mindanao State University (MSU). She did a survey on the records
management practices and archives administration in MSU. Her study was
accompanied with a plan for the creation of a university archives and records center.
Mallari (2000) studied the recordkeeping practices of academic and
administrative offices in New Era University. He concluded that recordkeeping of
the New Era University was defective, the records personnel were untrained, there
were inadequate records security measures, limited storage space, ignorance on the
importance of records inventory, and the absence of records retention and disposition
guidelines.
The Commission of Higher Education (CHED) was a subject institution of
Manahan (2009) in her research paper. She studied the records retention and
disposition practices of said agency. The agency has a central records office since
1994, but despite the presence of a centralized records office, CHED failed to do
records inventory. The task of the records office was limited to listing of all records
received and created by the agency. She also revealed that CHED had no records
retention and disposition schedule and had no clear guidelines and criteria of records
appraisal. This study shows that CHED, the commission in-charge all state
universities in the country, also finds it hard to submit its practices to the acceptable
best practices on records management.
Külcü (2009) examined the records systems of selected Turkish and
Canadian universities. He described the conditions, problems, similarities and
25
differences of each of the system used by the University of British Colombia (UCB)
- Canada, Simon Fraser University (SFU) - Canada and Hacettepe University (HU) -
Turkey. The two Canadian universities had records management programs in place
while the HU has been trying to develop a records management program. Despite
the presence of records management programs in UCB and SFU, these universities
experience more problems in filing and classification than HU. These problems
stemmed from the fact that some of the Canadian university offices tend to redesign
their filing system and develop their own internal records management program.
While in HU, offices adopted a standard filing system used nationwide and governed
by a central agency and the National Archive of Turkey. Külcü revealed that the
three universities spend approximately three hours in a working day on records
procedures. Also, the universities experience records access problems at least twice
a month. The issues cited in the study of Külcü were the main records issues
provided in the questionnaires of this study. This also gave the researcher a
benchmark on the most effective way to capture the actual records issues in an
academic institution like UP.
The top 10 government corporations and financial institutions in Metro
Manila were the subjects of Golfo (2010) in her study. She stressed that among
government agencies, like UP, effective records management is a fundamental and
core activity of public sector management. Her study revealed 66% compliance rate
of the agencies to standard and best practices of records management. She
recommended the improvement of the policies of the agencies based on ideal
26
practices and existing standards in archives and records management set by NAP and
ISO 15489.
Buenrostro (2010) studied the management and preservation practices of the
postwar or contemporary records of the provincial records division in Bulacan. She
discovered that none of the city offices (Malolos, Meycauayan and San Jose del
Monte) have centralized repositories for their semi-active and inactive records. The
records management practices in said offices were not standardized as well.
In 2012, Juanson explored the extent of compliance of 14 out of the 15
selected barangays in Quezon City with the RA 9470, IRR of the RA 9470, RA
7160, DECS Order No. 13-A and DECS Order No. 13-B. She concluded that none
of the barangays have existing archival system and most of the barangay policies on
archives and records management were not formally written. She also found out that
only 3 out of the 14 barangays have centralized receiving and releasing units, only 9
barangays have mini-archives, none dispose public and protected records, only 8
barangays have a records officer, and barangay officials are more aware of the laws
stated in local government code than RA 9470.
The Manuel S. Enverga University Foundation, a university with several
campuses, was studied by Macapia in 2014. She found out that the campuses have
no central storage room and records center resulting to filing of records per office.
She also highlighted that there was no budget allocation for records management
activities. She discovered the effort of some units to develop a standard for records
creation, and she then recommended a centralized records center for semi-active
27
records that could also be a venue for archival appraisal. Also in 2014, Mampusti
studied the recordkeeping and archiving practices of another government unit, the
National Housing Authority (NHA). She attributed the personnel educational
background and skills to the quality of recordkeeping and archiving practice of the
NHA. She also highlighted the development of appropriate and practical
recordkeeping practices of the agency to carry out its daily business operations.
All of the cited researchers agreed that the strict implementation of a
standardized records management program ensures smooth business processes
within an institution. These studies show that a number of government and higher
education institutions in the Philippines and abroad also encounter a several records
issues which should not be neglected. These issues were considered in crafting the
questionnaires of this study.
On the Assessment and Implementation of ISO 15489
Institutions around the world are starting to utilize the international standard
in their records management practices. Stephens (2001) opined that “ISO 15489 is
the latest development in the global best practices movement that has been gathering
momentum during the past 15 years” (p. 68).
McLeod (2003) investigated the initial reactions to and plans for using the
ISO 15489 from within and beyond the records management community. The
investigation was conducted between January 2002 and March 2003. The results
showed a relatively high level of awareness of the standard and very positive
28
reactions despite the imperfections of said standard. Her study revealed that many
plan to use the standard for policy/strategy development, to serve as basis for records
management procedures and to benchmark their current records management
practices. She added that many records professionals plan to utilize the standard to
raise the profile of their organization’s records management. This study shows how
acceptable the ISO 15489 to the many records professionals even at the onset of the
standard’s implementation.
In Jamaica (Alexander-Gooding & Black, 2005), a group of records
management professionals joined forces to determine how they can take advantage
of ISO 15489 in advancing records information management. Jamaica has had a
strong recordkeeping practice with no effort to develop a retention schedule. In this
study, they highlighted the strengths as well as the weakness of the standard. Some
of the identified weaknesses of the ISO 15489 were “(1) it is just a voluntary
standard; (2) it does not include the management of archival records; (3) it does not
adequately cover electronic records; and, (4) it does not address vital records and
contingency planning” (pp. 64-65). As of 2007, the technical committee had
presented the adopted the ISO 15489 to the Bureau of Standards in Jamaica, for
approval. These weaknesses suggest possible hurdles in the implementation of ISO
15489 in UP.
Xiaomi and Jiao (2004) introduced and assessed the China’s records
management practices against ISO 15489. The paper served as a case study
discussing how the ISO contributes to the identification of gaps between best
29
practice, captured in the standard, and what is happening in reality in relation to
records management policies, programs, procedures and processes. The researchers
also provided recommendation for the improvement of records management in
China.
Oliver (2007) demonstrated that implementation strategies for ISO 15489
need to be tailored according to the needs of the organization to function flawlessly.
Oliver strongly suggested that for ISO to best serve the organization, implementers
must first understand the cultural characteristics of the organization, taking into
account their unique features as well as the broader cultural environment, including
societal legislative and standards frameworks. She also identified key factors to
consider in introducing a global standard and managing change associated with it:
(1) leadership of the implementation, (2) identification of benefits appropriate to the
values prevalent in the specific organizational environment, and (3) language and
communication issues.
These foreign studies guided the researcher in interpreting the ISO 15489 and
in analyzing the standard as the basis of the self-audit tool for this study.
Specifically, it greatly contributed on the appropriate approach in using ISO 15489
as an audit tool. The strengths and weaknesses of the ISO were considered for its
effective use as a self-audit tool. The researcher also provided these literature as
easy reference for future studies focusing on the implementation of ISO 15489.
30
On Records Management Audit
Crockett and Foster (2004) wrote an article on how to utilize the ISO 15489
as an audit tool for the records management practices. It examined the standard as
basis for auditing a records management program and provided tips on the data
gathering and report writing for an audit program. In addition, the Hardiman (2014)
through the NHS Business Services Authority provided a framework to conduct an
audit program. It gave a model on how to do an audit and what measures to be
considered for good records management practices. Also in 2015, the Health &
Social Care Information Centre also published a guide for regular programs of audit
that both demonstrates, and provides assurance of compliance with good practice
standards of records management.
All these literature on the records management audit serve as the model in
crafting a self-audit tool for use in this study. More importantly, the proper wording,
format and method of the tool were heavily based on these studies. The researcher
needed to consult a number of foreign literatures on the conduct of records
management audit because of the absence of an audit tool for Philippine-based
institutions.
Conceptual Framework of the Study
As discussed earlier, ISO 15489 requires the recognition of other regulatory
environment affecting the institution. Thus RA 9470 was considered in this study.
As a first step, the researcher examined and identified similar provisions of the ISO
31
15849 and the RA 9470 that are relevant in the assessment of the records
management practices in UP. Some of the major provisions are shown in the figure
below:
Figure 3. Venn diagram of ISO 15489 and RA 9470
To integrate the two regulations, similar provisions were identified to avoid
redundancy in the methodology. The unique provisions were analyzed for the
inclusion in the study. These were considered in the methodology of the study, as
well as in crafting and finalizing of the self-audit tool.
Some Provisions of ISO 15489
Identification of regulatory environment
Design and implementation of a
records systems
Best practices in records management
processes (records capture,
registration, classification, access and security classification,
identification of disposition status,
storage, use and tracking, implementation of disposition)
Monitoring and Auditing
Establishment of records
/archives management
program/policy
Appointing a records officer and
defining responsibilities and authorities
Training of records personnel
Use of records management tools
/ instruments
Documentation of records management processes/Agency
records management manual
Some Provisions of RA 9470
Establishment of a records and archives office/unit
Creation of a Records Management Improvement
Committee
Establishing an integrated records
creation program
Setting the standards and criteria
for maximum utilization of filing equipment and floor space
Establishment of a centralized receiving and releasing unit
Establishment of Agency Storage
/ Mini Archives
32
Figure 4. Schematic diagram on the assessment of UP’s records
management practices
The methodology of the study is patterned according to the minimum
requirements of ISO 15489 and RA 9470. The conducted initial analysis of the ISO
15490 and RA 9470 helped in formulating the survey questionnaires and in crafting
the self-audit tool. The gathered data were assessed and then plotted to the self-audit
tool to determine the compliance rating of the University. Conclusions and
recommendations on the current records management practices in UP were provided
after the thorough assessment and discussion of the gathered results.
Assessment,
Conclusions, and
Recommendations
Self-Audit
Tool
(Pre-
crafted)
University of
the Philippines
(UP)
ISO 15489 and
RA 9470
Survey
Question-
naire and
Interviews
Proposed self-audit tool
for UP
33
As an output of the study, a self-audit tool for use of the University is
proposed. This tool, if used with strict and effective compliance, will surely help the
University in reviewing its records management practices and will ensure a common
standard throughout the UP units.
Definition of Terms
Administrative records - document that relates to housekeeping functions (such as
management of the facilities, finances, and personnel) and to agreements,
contracts, meetings, legal actions, etc. (Business Dictionary.com, 2015)
Access – refers to the granting of permission to: (1) use the reference service of an
archives institution; (2) examine and study individual archives and records or
collections held by archives; and (3) extract information from archives and
records for research or publication (Official Gazette, 2009, p. 1715)
Archives – refers to (1) public records, papers, periodicals, books or other items,
articles or materials, whether in the form of electronic, audio-visual, or print,
which by their nature and characteristics have enduring value, that have been
selected for permanent preservation; (2) the place (building/room/storage
area) where archival materials are kept and preserved; and (3) an organization
(or part of an organization) whose main function is to select, collect and
preserve archival records and make such records available for public use
(Official Gazette, 2009, p. 1715-1716)
34
Audit – review or scrutiny of any system or process that make up a system. The
main purpose of an audit is to provide assurance that systems and processes
are effective, compliant and risk free. It also provides a mechanism for
regular scrutiny and improvement of systems. (Health & Social Care
Information Centre, 2015, Introduction)
Capture - is the process of determining that a record should be made and kept. This
includes both records created and received by the organization. It involves
deciding which documents are captured, which in turn implies decisions
about who may have access to those documents and generally how long they
are to be retained. (ISO 15489:2-2001, p. 14)
Classification – is the process of identifying the category or categories of business
activity and the records they generate and of grouping them, if applicable,
into files to facilitate description, control, links and determination of
disposition and access status (ISO 15489:2-2001, p. 16)
Convenience files – a file containing duplicates of records kept near the point of use
for ease of reference (Society of American Archivists, 2015, Glossary Terms
C)
Destruction – process of eliminating or deleting records, beyond any possible
reconstruction (ISO 15489:1-2001, p. 2)
Disposition – range of processes associated with implementing records retention,
destruction or transfer decisions which are documented in disposition
authorities or other instruments (ISO 15489:1-2001, p. 3)
35
Document – recorded information or object which can be treated as a unit (ISO
15489:1-2001, p. 3)
General records disposition schedule – refers to a records control schedule governing
the disposition of specified recurring records series common to all
government agencies issues by National Archives of the Philippines (Official
Gazette, 2009, p. 1716)
Indexing - process of establishing access points to facilitate retrieval of records
and/or information (ISO 15489:1-2001, p. 3)
Metadata - data describing context, content and structure of records and their
management through time (ISO 15489:1-2001, p. 3)
Non-current records – refers to files that deal with completed or adjourned business
not needed for action or reference in continuing agency transactions but have
continuing research or historical value to the government and public (Official
Gazette, 2009, p. 1716)
Preservation – refers to all actions taken to retard deterioration of, or prevent damage
to cultural materials and controlling the environment and conditions of use
and may include treatment to maintain materials as nearly as possible in an
unchanging state (Official Gazette, 2009, p. 1716)
Records Center / Storage Area – refers to an intermediate repository in which non-
current records of various government offices are stored until they can be
destroyed or transferred to the National Archives of the Philippines (Official
Gazette, 2009, p. 1717)
36
Records creation – refers to the (1) organization’s operation wherein exchange of
written ideas between two sources occur; (2) act of controlling records and
retaining them in records keeping system; and (3) bringing the records into
existence as evidence of any administrative process (Official Gazette, 2009,
p. 1717)
Records disposition schedule – refers to the listing of records series by organization
showing for each records series the period of time it is to remain in the office
area, in the storage (inactive) area and its preservation or destruction (Official
Gazette, 2009, p. 1717)
Records inventory – is a detailed listing of the volume, scope, and complexity of an
organization's records, usually compiled for the purpose of creating a records
schedule (A Glossary for Archivists, Manuscript Curators, and Records
Managers, Society of American Archivists: Chicago, 1992, p. 19)
Records management – refers to the managerial activities involved with respect to
the records creation, records maintenance and use, transmission, retention,
and records disposition in order to achieve adequate and proper
documentation of policies and transactions of government for its efficient,
effective and economical operation (Official Gazette, 2009, p. 1717)
Records management policy – is an essential tool for supporting good corporate
governance and demonstrates your agency's commitment to effective records
management practices (National Archives of Australia - Policies, procedures
and guidelines, 2015, para. 1)
37
Records management improvement committee – refers to a group of key officials
and employees designated by the head of the agency responsible for the
improvement of their records activities (Official Gazette, 2009, p. 1717)
Records management manual – refers to a guide which contain the functions,
organizational chart of the records office, policies and standard operation
procedures on records management activities of an agency (Official Gazette,
2009, p. 1717)
Records office – refers to an organizational unit responsible for planning,
developing, prescribing, disseminating and enforcing policies, rules and
regulations and coordinating agency-wide records management program
(Official Gazette, 2009, p. 1717)
Records officer – refers to the employee responsible for overseeing the records
management program and providing guidance on adequate and proper
recordkeeping (Official Gazette, 2009, p. 1717)
Registration - act of giving a record a unique identifier on its entry into a system
(ISO 15489:1-2001, p. 3)
Retention period – refers to the specific period of time established and approved by
the National Archives of the Philippines as the life span of records, after
which they are deemed ready for permanent storage or destruction (Official
Gazette, 2009, p. 1718)
Storage - A set of processes to ensure that records are protected, accessible and
managed in a cost-effective manner for as long as they are needed. This
38
includes facilitating retrieval and use (National Archives of Australia, 2015,
Glossary)
Tracking – creating, capturing and maintaining information about the movement and
use of records (ISO 15489:1-2001, p. 3)
Transfer of records – refers to the systematic movement of records out of high cost
space and equipment to less expensive storage area / records center (Official
Gazette, 2009, p. 1718)
University of the Philippines System (UPS) – is the term used to include all units of
the University regardless of campus, function, and location
University of the Philippines System Administration (UPSA) – refers to the central
administration of UP which includes the Office of President (OP), the offices
of the Vice Presidents (OVPs), Office of the Secretary of the University, and
the offices of the assistant vice presidents and directors under OP and OVPs
Valueless records – refer to all records that have reached the prescribed retention
periods and outlived the usefulness to the agency or the government as a
whole (Official Gazette, 2009, p. 1718)
CHAPTER III
METHODOLOGY
Chapter III describes and discusses the design of the research, the intended
respondents, the instruments and methods to collect data, and the analysis of the
collected data.
Research Design
The descriptive research approach was employed by this study. Through this
method, the researcher was able to observe and capture actual situations, problems,
phenomenon, services, and programs of the subject offices. This method also
provided a better understanding of the underlying reasons for such records
management practice. The study did not require full participation of the respondents,
thus, did not cause any delay or interruption in the daily business operations of the
institution.
The analysis of this study was divided into four (4) phases. The researcher
started the data gathering by requesting a list of documents from the respondents.
This list was the first part of the survey questionnaire (Appendix III-A). The second
phase was the actual data gathering through the survey questionnaire and interview
(Appendix III-B). Interviews were conducted to seek clarification and in-depth
discussion on certain survey questions. For UP Los Baños, UP Manila, UP Open
University and UP Baguio respondents, the researcher needed to serve the survey
40
questionnaire through one-on-one interview to help the respondents in answering the
questions. Pictures were taken for actual appreciation of the results of the
questionnaire. The third phase was the presentation of the data in tables, the textual
analysis of the results, and the setting of results to the self-audit tool (Appendix I-A)
to measure the compliance of the University with the ISO 15489 and RA 9470.
Lastly, conclusions and recommendations were offered to improve and help the
records management practices in UP to be compliant with the ISO 15489 and the RA
9470. A self-audit tool was also proposed for use of the University (Appendix I-B).
Population and Sample
The researcher was able to tap a total of 32 respondents. The main
respondents were from the top-level offices of the University. These offices are the
Office of the President, Office of the Secretary of the University and of the Board of
Regents, Offices of the Chancellors, and the Office of the Dean for UP Cebu. The
records office of UP Los Baños, UPLB Record Management Office (RMO), was
included in the study which is one of the two established records offices in UP (OSU
is the other which was established by UP Charter). The records officers/personnel
were the main respondents with a total number of 17 participants.
The researcher asked the participation of at least one personnel from each
office. For offices with no official records personnel, the participation of the
personnel doing records management functions was solicited. The heads of unit
(University President, Secretary of the University, Chancellors, and Dean) were also
41
asked to answer a short questionnaire (Appendix III-C). All heads of units
participated in the study, a total of 10 respondents. Selected records clients shared
their views on the issues of records management in UP. Five records clients
responded to the short questionnaire (Appendix III-D) which was sent via email.
Support towards the standardization of UP records management was also sought
through the farmed out survey questionnaires.
Research Instruments
Survey questionnaire and interviews, as well as the study of
literature/documentations, were the major research instruments used by the
researcher. As discussed in Chapter I, the researcher was able to do face-to-face
interviews and site visits to limited respondents because of financial and time
constraints. Only UP System, UP Diliman, UP Manila, UP Los Baños and UP
Baguio site visits were feasible. The researcher asked all possible help from other
respondents in taking pictures of the records room and patience during phone-call
interviews, in lieu of inability to do site visits.
The survey questionnaire for the main respondents was mainly adopted from
the studies of Buenrostro (2010) and Külcü (2009). According to Buenrostro, her
questionnaire was patterned after Granda’s (1981) study, ISO 15489 and RA 9470.
The researcher heavily relied on Kulcu’s study to capture the records issues in the
University. Additional sections and questions were added by the researcher to
address the specific problems stated in this study. The questionnaire has two parts,
42
Part I listed the documents that were requested from the main respondents and Part II
contained the questions to capture the actual practices in each office. It was planned
to request copies of all available documents as listed in Part I, but the respondents
hesitated to release a copy of outdated and draft documents. But the researcher was
able to read and analyze these documents through the conducted interviews. Part II
was further sub-divided into the records management processes and controls as listed
in the ISO 15489, namely, records capture, records registration, records
classification, storage and handling, access to records, use and tracking,
implementation of disposition, documentation of the records management processes,
monitoring and audit, and training. Sections on electronic records, archival records,
records issues and standardization of records management in UP were also included.
Most of the questions had choices to guide the respondents in answering. Some
questions required the respondents to rate the given entry and to give their own
perspective about it.
The questionnaires for the heads of units and selected records clients were
designed to capture their perceived status of current records management practices
and records issues in the University, and their support towards a common records
management program for UP. These questionnaires were sent via email, particularly
through Google forms.
Also, site visits enabled the researcher not only to inspect the physical set-up
of the records but also to have a more personal and in-depth interview with the
records managers/personnel.
43
Data Collection
An authorization letter approved by the University President was secured
before farming out the letter-request and questionnaires to the target offices. After
securing the President’s authorization, the researcher then requested the permission
to conduct survey, interview, and site visits through a letter-request addressed to the
Chancellors and Dean, attaching a copy of the survey questionnaire for their records
personnel (see Appendix IV). The letter-request also informed the heads that a short
online questionnaire was sent to their email addresses for their participation.
The questionnaire for selected records clients were also sent via email. A
follow-up phone call was made by the researcher to inform them of the email-
request.
The collection of data started in late April 2015 and was completed in June
2015.
Analysis of Data
The results of the data gathering were presented in tables to visually capture
the current state of the records management practices in the University. Presentation
in tables also helped the researcher in getting the dominant practices of the
University. It also highlighted the constituent units of UP with the most advanced
records management practices.
44
After the results were presented in tables with corresponding textual analysis,
the results were then plotted to the self-audit tool. The tool clearly showed the
compliance and non-compliance of each campus with the provisions of the ISO
15489 and RA 9470. The tool gauged the compliance rate of each UP campus, and
the University as a whole. The compliance rating of each of the unit was calculated
through the count of total number of provisions met over the total number of
provisions listed in the self-audit tool. To calculate the overall compliance rating of
the University, the results of the compliance of each unit were plotted in one general
table. The average compliance rating by provision provided the overall compliance
rating of the University.
As for the common perceived records issues, its reasons, and the current state
of the records management in UP of the records personnel, the mean rating was
calculated to capture general thoughts of the respondents.
CHAPTER IV
DATA PRESENTATION
In this chapter, the results of the data gathering conducted by the researcher
are presented and analyzed. Data are shown in tables with corresponding textual
analysis. Pictures and images are added to support the analyses of the researcher.
This chapter contains the following topics: profile of the respondents, overview on
the subject units and its records management, general information on the University
records, records management practices in UP and its compliance with ISO 15489 and
RA 9470, issues on University’s records management practices, and the
standardization of UP’s records management.
Profile of the UP Respondents
The researcher was able to tap 32 respondents to participate in the study. The
respondents are grouped according to the following categories: records officers,
personnel-in-charge of records, heads of units, and selected records clients, as shown
in Table 1.
46
Table 1
Distribution of Respondents by Group
Groups of Respondents Frequency
Records Officers 2
Personnel in-charge of records 15
Heads of units 10
Selected records clients 5
Total 32
The records officers and personnel-in-charge of records are the main
respondents of the study, with a total of 17 warm bodies. Only two respondents are
records officers, they are from OSU and UPLB-RMO. The researcher observed that
many of the subject units have no records officers, thus the inclusion of “personnel-
in-charge of records” group is deemed essential. The main reason for the absence of
records officer position in top-level UP units is mainly because recordkeeping tasks
are just additional assignments to the regular workload of the UP employees. The
main respondents were asked to answer the questionnaire which captured the actual
record management practices in UP (Appendices III-A and III-B).
The “heads of units” and “selected records clients” groups added significant
inputs on the common records issues in the University. Some recommendations
were sought from these groups to address the issues confronted by the University,
and to gather support towards the standardization of record management. They were
asked to answer the online survey questionnaires (Appendices III-C and III-D). A
total of 15 respondents were classified under these groups.
47
Table 2 lists the distribution of the 17 main respondents throughout the UP
System. The following units are well-represented: UP Los Baños with five, and two
respondents from each of the following units: UP Manila, UP Mindanao, and UP
Cebu. Only the UP System Administration (UPSA) and UP Los Baños have official
records offices. One of the respondents from UP Manila, the former records officer
of UPM-OC, is now detailed to another office but the Chief Administrative Officer
of UPM-OC requested to accommodate the inputs from said former records officer
for more in-depth analysis of the records management in UPM-OC.
Table 2
Distribution of Main Respondents by Unit
Main Respondents by Unit Count
Office of the President (OP) 1
Office of the Secretary of University and of the Board of Regents (OSU) 1
UP Diliman – Office of the Chancellor (UPD-OC) 1
UP Los Baños – Office of the Chancellor (UPLB-OC) 1
UP Los Baños – Records Management Office (UPLB-RMO) 4
UP Manila – Office of the Chancellor (UPM-OC) 2
UP Visayas – Office of the Chancellor (UPV-OC) 1
UP Open University – Office of the Chancellor (UPOU-OC) 1
UP Mindanao – Office of the Chancellor (UPMin-OC) 2
UP Baguio – Office of the Chancellor (UPB-OC) 1
UP Cebu – Office of the Dean (UP Cebu) 2
Total 17
Majority of the main respondents are not records officers. Thirteen out of the
17 respondents hold non-records officers positions. Their position titles are
presented in Table 3.
48
Table 3
Distribution of Main Respondents by Position Title
Position Titles of Main Respondents Frequency
Records Officer V 1
Records Officer III 1
Executive Assistant I 1
Administrative Officer V 3
Administrative Officer IV 1
Administrative Officer III 2
Administrative Officer I 2
Senior Administrative Assistant I 1
Administrative Assistant VI 1
Administrative Assistant V (Private secretary ) 2
Administrative Assistant II 2
Total 17
Anyone can infer from the data shown in Table 3 that records management in
the University is primarily an additional task of the administrative staff. Only two
personnel from the top-level offices of the University hold records officer positions.
The records officers are from OSU and UPLB-RMO. These are also the units with
established records offices. Respondents from UPLB-RMO shared that though their
position titles are not records officers, they are full-time in managing records.
One respondent shared that he previously held a records officer position. But
because of the low salary grade, his office promoted him but to a non-records officer
position. This implies that the record officer positions in the University (and also in
other government agencies) may not be appealing anymore to anyone with
records/information management expertise.
49
The background information on the educational attainment of the main
respondents are shown in Table 4. It reveals that only two respondents have formal
education on records management. These respondents are from OP and UPD-OC.
Table 4
List of Educational Attainment of Main Respondents
Highest Educational Attainment Frequency
Master in Public Administration 1
Master in Development Management 1
Master of Library and Information Science (ongoing) 2
Master of ASEAN Studies (ongoing) 1
MA Public Administration (ongoing) 2
BS Commerce 1
BS Economics 1
BS Business Administration 2
BS Business Management 3
BS Secretarial Administration 1
BS Management Accounting 1
Bachelor in Computer Data Processing and Management 1
Total 17
Majority of the records personnel of the subject units earned degrees in
different fields of studies. Although their degrees have no concentration on
information and records management, they all have bachelors and master’s degrees
which are enough to learn and understand the discipline of and skills on records
management. However, it is appropriate that the staff members assigned to manage
records are properly trained and have at least the basic knowledge before they
perform the function. But the University fails to observe this practice. A number of
respondents shared that they have yet to attend any basic training on records
50
management. This is the current trend in the University’s recruitment of records
personnel.
Aside from educational background, the years of service in UP of the
respondents are presented in Tables 5 and 6. Table 5 shows their number of years of
service in the University while Table 6 presents their number of years as records
personnel.
Table 5
Distribution of Main Respondents by Years of Service in UP
Years of Service in UP Frequency
1-5 0
6-10 4
11-15 2
16-20 4
21-25 2
30-up 5
Total 17
Table 6
Distribution of Main Respondents by Years of Service as Records Officer/Personnel
Years of Service as Records Officer/Personnel Frequency
1-5 6
6-10 3
11-15 2
16-20 2
21-25 4
30-up 0
Total 17
51
The data shown in Table 5 reveals that the currently assigned records
personnel of the subject units have long been serving the University. Majority of the
respondents have served UP for more than 10 years. They are already familiar with
the daily operations and the business processes of the University. These experiences
are essential in performing their recordkeeping functions. However, Table 6 shows
that more than half of the respondents are just introduced to the management of
University records, serving as records personnel for less than a decade. Some of the
respondents also shared that there are no permanent staff in-charge of records
management in their offices. Aside from the formulation of appropriate training
program for records personnel, it is necessary for the University to have a standard
records management program to preserve and improve its best practices in spite of
the frequent change of the records personnel. As mentioned earlier, it is also an
important consideration that the assigned records personnel should have at least the
basic knowledge and skills before performing the task to avoid adoption of
inappropriate practices. Staff turnover should be planned carefully to ensure
continuity of the established practices in records management.
Overview on the Subject Units and its Records Management
As discussed in the previous chapter, UP is composed of seven constituent
universities (CUs), one autonomous campus, and a central administration unit (UP
System Administration). This composition is reflected in the organizational chart of
UP, Figure 1. Additionally, as a general introduction on UP, it has around 60,000
52
undergraduate and graduate students with more than 5,000 faculty members. It
offers around 500 degree programs. The University employs over 8,000
administrative personnel (UP System Budget Office [UPS-Budget Office], 2013).
This shows how vast the scope of University records, not only as a government
institution but also as the leading university in the Philippines. The breakdown of
these figures by unit is briefly discussed in Appendix II. Aside from the breakdown,
a brief narration of the history, description, mission and vision, and organizational
structures of each unit are described in said appendix. A discussion on the staffing
pattern of records personnel and the records units of each of the subject unit are
presented in the succeeding sections.
Office of the President (OP) – UP System
The UP President has a single six-year term who is elected by the UP Board
of Regents (BOR), the highest policy making body of the University. As stated in
the Chapter I, the President is the chief academic officer, chief executive officer and
the head of the university faculty (RA 9500, 2008, Sec. 14). The staff of the Office
of the UP President (OP) backstop the President in overseeing the operations of the
whole UP System and in ensuring that the goals set by the Charter, the directives
from the BOR and strategic initiatives of the University are all being implemented.
OP is composed of 9 permanent administrative staff members and 5 job
order/contractual personnel (see Appendix II for the organizational chart). The
vision of the office depends on agenda or initiatives of the current UP President. Its
thrust also depends on the priority programs of the President.
53
The records management function of the office is mainly delegated to the
executive assistants of OP. An executive assistant is in-charge of the records of the
office who is supervised by the senior executive assistant. Almost all types of
records go in and out of the office but the primary records maintained by the office
are mainly on university governance policy.
Office of the Secretary of the University and of the Board of Regents (OSU) – UP
System
The Office of the Secretary of the University and of the Board of Regents
(OSU) has 16 staff members, 15 are permanent staff (see Appendix II for the
organizational chart). The Secretary of University is tasked to keep the records of
the University as may be designated by the BOR (RA 9500, 2008, Sec. 15).
Additionally, OSU:
facilitates governance of the University through its work as the
secretariat and administrative arm of the Board of Regents and the
President’s Advisory Council. It serves as the primary interface and
communication link between the top policy makers and executive
officers of the University on one hand and the diverse stakeholders
and resource providers of the University and the general public on
the other. Being the repository of Board policies and decisions, the
office may also be called upon to conduct or to oversee studies and
research on policy issues that require Board attention and action.
(OSU website, 2015)
Mandated as the repository of BOR policies and decisions, almost 90% of its
records consist of university policies and the issuances of the University Presidents
(like administrative orders, memoranda, executive orders and outgoing letters).
Managing these vital records is a records officer who performs the records
54
management in the office with the help of another OSU staff. OSU has a dedicated
storage room for its records.
Under the governance of current Secretary of the University, OSU’s priority
program is the digitization of its records or the eOSU Project. The eOSU Project is
discussed further in the next sections.
Office of the Chancellor – UP Diliman (UPD-OC)
UP Diliman is largest campus in the UP System. The records section of the
Office of the Chancellor of UP Diliman serves as the main records office of this
diverse campus. The Office has a records officer and another records personnel who
has a contractual appointment.
UPD-OC has a dedicated area for its records. Its records storage facilities
and area have enough space to accommodate its current record holdings. The
respondent from UPD-OC shared that given the volume of records coming in and out
of their office, records storage area was well-considered during the renovation of
their office.
Office of the Chancellor – UP Los Baños (UPLB-OC)
UP Los Baños has an official records office which is the Records
Management Office - UPLB (UPLB-RMO). But in spite of the presence such
records office, Office of the Chancellor of UPLB still performs recordkeeping task
which is assigned to one of the staff of the office, as supervised by the senior
administrative officer.
55
UPLB-OC has assigned a room for its record holdings but this area is located
remotely from UPLB-OC. According to the records personnel of the office, UPLB-
OC has ongoing plan to transfer the records storage room near the office.
Records Management Office – UP Los Baños (UPLB-RMO)
The UPLB-RMO is the official records office established by the BOR for
UPLB campus. UPLB-RMO’s historical background is provided in Appendix II.
The mandates of the RMO are to:
1. formulate, implement, and continually analyze policies to effect
better records control;
2. identify and analyze problem areas in the creation, maintenance,
and disposition of the records of UPLB;
3. establish a uniform classification and filing system for all the
records of UPLB, regardless of their present location;
4. adopt standard operation procedures for the classification, filing,
and servicing of records;
5. plan and establish schedules for the retention and disposal of
records; and,
6. initiate training courses for records personnel in the various
aspects of records management. (UPLB-RMO Manual, 2004, p.
4)
The office currently has four sections, namely, the current records section
with five staff; the non-current records section with six staff; the communication
service section with three staff members; and the bindery service section with three
staff. All these sections are supervised by the Chief and Records Officer V of the
office. The organizational chart is presented in Appendix II.
According to the respondents from UPLB-RMO, their records are from the
different units of UPLB. The office has a number of records centers but still it needs
more space for its growing records. Considering the both UPLB-OC and UPLB-
56
RMO have records storage issues, it would be beneficial if the campus would
consider only one central records storage for the entire campus. UPLB-RMO should
be empowered to fully perform its mandates set by the UP BOR.
Office of the Chancellor – UP Manila (UPM-OC)
The Office of the Chancellor of UP Manila has 11 administrative staff
members including one contractual staff (see Appendix II for the organization chart).
An administrative assistant is in-charge of records management as supervised by the
Chief Administrative Officer. The records personnel shared that he just assumed the
recordkeeping task of the office since last year. Unfortunately, he also shared that he
is yet to attend any basic training. He pointed out that his lack of knowledge and
skills aggravate the current records issues present in their campus.
The former records officer of the office is now assigned to the Central Point
of Contact (CPC) unit of UP Manila who is in-charge of all the records received and
released by the campus. The CPC Project of UP Manila is further discussed in the
succeeding sections.
Like the other UP units, UPM-OC has a records storage area, and also faces
same inadequate records storage. More on this issue is discussed in the next
sections.
Office of the Chancellor – UP Visayas (UPV-OC)
The Office of the Chancellor of UP Visayas currently has six support staff
members. Three of these staff are permanent, and three are contractuals (see
Appendix II). One of the permanent staff (Administrative Aide VI) is in-charge of
57
the recordkeeping tasks of the office. The issue on inadequate records storage space
is also experienced by the office in managing its records.
Office of the Chancellor – UP Open University (UPOU-OC)
The head office of UPOU, the Office of the Chancellor, is manned by two
permanent and one contractual staff members. Although considered as a virtual
university, majority of the records of the campus are still in paper form. The
administrative officer of UPOU-OC is mainly in-charge of the records.
It was revealed that the Office has not disposed any of its record holding
since its establishment in 1995. This is the main cause of the records storage issue of
the Office. The respondent from the Office disclosed that they plan to renovate the
office and that a bigger space for records storage area is a main consideration.
Office of the Chancellor – UP Mindanao (UPMin-OC)
UP Mindanao was elevated as a constituent university in 1998. Though it is
relatively young compared to other constituent units of the University, it already
faces a number of records issues. Because of these issues, the Chancellor constituted
a Records Management Team in 2014 to focus on the improvement of records
management in the campus. The output of the Team is expected in July 2015.
However, the researcher was not able to wait for the output of the Team due to time
constraints. The Team’s output would have been a vital part of this study to beef up
the discussion on the University’s efforts on the improvement of records
management.
58
In the Office of the Chancellor of UP Mindanao, records management is a
shared responsibility of the two administrative officers and a utility worker. One of
the administrative officers of UPMin-OC is a member of the constituted Records
Management Team.
Office of the Chancellor – UP Baguio (UPB-OC)
Another young campus is UP Baguio. The Office of the Chancellor has three
staff members. One of these staff members is in-charge of the records of the office.
The UPB-OC’s records personnel shared that their records section serves as
the records office of the campus. It is very important for her to keep every record
that has value not only for her office, but for the entire campus. She is also asked to
initiate the records management in other units of UPB. Given this situation, it is very
important that records personnel of the top-level offices of the University to have
adequate knowledge and skills on records management to avoid providing erring
practices.
Office of the Dean – UP Cebu
The Office of the Dean of Cebu has three staff members. Two staff are in-
charge of the recordkeeping in the office. The respondents from UP Cebu shared
that every unit in the college has their own records storage areas. Every unit is
expected to manage their own records. Like the respondent from UP Manila,
respondents from UP Cebu shared that she look forward to attend basic records
management trainings.
59
Over the years, the University has established only two records offices, OSU
and UPLB-RMO. The absence of a central records office for the entire UP System
necessitated each campus to manage its records through their own ways.
Additionally, almost all units are experiencing inadequate records storage which is a
lingering records problem in UP since 1970s, as pointed out by a number of studies.
Given the current status of the records management in UP, it is very important that
the records personnel are well-experienced and well-trained. But this is not the case
in UP. The detailed discussion of the records management practices in UP is
provided in the next section.
The Records of the Subject Units
For more than a hundred years in existence, UP has definitely accumulated a
volume of records to support its continued presence and business operations. This
was also one of the findings of a committee in 1981 which was discussed in Chapter
II. This section introduces the nature of records that are being managed by the
subject units.
As discussed in the previous chapter, the study is limited to administrative
records only. Administrative records are the common records managed by the
subject units. Table 7 shows the common administrative records that the offices
manage.
60
Table 7
Types of Records Managed by UP
Types of Records
Units
OP
OS
U
UP
D
UP
LB
UP
LB
RM
O
UP
M
UP
V
UP
OU
UP
Min
UP
B
UP
Ceb
u
Memoranda / / / / / / / / / / /
Administrative
Orders / / / / / / / / / / /
Correspondence
Files / / / / / / / / / / /
Policy and
Procedure Manuals / / / x / x x / / / /
Minutes of the
Meeting / / / / / / x / / / /
Financial Reports / x / x / x / / / x /
Annual Reports / x / x / x / / / / /
Speeches / x / x / / / / / /
Organizational
Charts/Plantilla / x x x / x x / / x /
Government
Publications / x x x x x x x x x x
Audio-visual
Materials / x x x x x x x / x x
Photographs / x x x / x x x / x x
Records of
Research Activities x x x x x x x x x x x
Informational
Materials on UP / x x x x x x x x / x
201 Files / x x x x x x / x x x
Case Files / x x x x x x x x x x
Legal Files
(e.g. MOA, etc.) / x x / x x x x x x x
As revealed in Table 7, memoranda, administrative orders, correspondence
files, minutes of meetings, and policy papers are the most common record types that
the subject units manage. This pattern across the subject units is expected as these
records are the ones created by the offices and the common reference materials for
61
the decision making of the offices. Of all the subject units, OP is managing almost
all types of records listed in Table 7. This is likely the case as OP is expected to deal
not only with UP-related records but also with other government records, being the
head office of the University.
The records managed by the subject units are the vital records of the
University as it includes policy records. This is also the reason why the researcher
chose to study the top-level offices of the University, to highlight how the University
maintain its vital records. The section on the actual records management practices of
said units reveals the status of these vital records of the University.
Table 8
Formats of Records Managed by UP (in percent)
Units Paper Electronic
OP 70 30
OSU 50 50
UPD 90 10
UPLB 100
UPLB RMO 100
UPM 100
UPV 100
UPOU 80 20
UPMin 80 20
UPB 99 1
UPCebu 98 2
Although majority of the records of UP are in paper format, more than half of
the subject units are now dealing with electronic records as presented in Table 8.
The main respondents shared that the computers and scanner rolled out throughout
62
the UP campuses by the eUP Team helped them in starting up the electronic records
management in their offices.
Most of respondents shared that inactive records are their priority in
digitization. This is to save up some space in their records storage areas.
Respondent from OSU shared that the UP Gazette and BOR decisions are now made
available in electronic format for ease of record searching as well as to save on
records storage space. For OP, the respondent shared that her office started to
digitize the issuances of the UP Presidents which are the primary records created by
the office. The digitization of OP now expanded to cover inactive records as well as
selected active records using the EDMS program of the office.
One well-established digitization project is the project of the UPLB RMO
which is manned by 4 contractual staff members and supervised by the Chief
Records Officer of the office. The project is being funded by UPLB every year upon
submission of progress report and justification of project continuity. An in-depth
discussion on UP’s electronic records is found in succeeding sections.
Records Management Practices in UP
The results of the data gathering on the actual records management practices
in UP are presented according to the listed records management processes and
controls in ISO 15489 as follows: records creation/capture, records registration,
records classification, storage and handling, access to records, use and tracking, and
implementation of disposition. The documentation of the records management
63
processes, monitoring and audit, training of the staff, archives management, and
electronic records are also discussed for more holistic analysis of the records
management in the University.
Records Creation/Capture
Records capture is defined as the “process of determining that a record
should be made and kept” (ISO 15489, 2001, p. 14). It is important to have a clear
guideline on what records to create and capture within the records system of an
organization. Control over records creation is also an important consideration for an
efficient records system (ISO 15489, 2001, p. 14). The 1981 committee report also
recommended a common guideline over control of records creation to regulate the
fast growing number of University records which mostly have duplicate or more
copies. Unfortunately UP, until now, has no clear guideline on records creation and
capture despite the recommendation of the committee.
The different UP offices manage to create their own system of control over
its records. The common control systems are listed in Table 9.
64
Table 9
Records Creation Control in UP
Units
Observance of
Directives Issued
on Records
Control
Uniform Titles/Codes
for Administrative
Issuances
Review of Outgoing
Communications
Prior to Release
OP / / /
OSU / / /
UPD / / /
UPLB x / /
UPLB
RMO x x x
UPM x / /
UPV x / /
UPOU x / /
UPMin x / /
UPB x / /
UPCebu x / /
Majority of the UP offices admitted that they are not observing any directives
on records control even with the existence of such directives. Only OP, OSU and
UPD-OC have confirmed their submission to some of the University directives as
shown in Table 9. Respondents from OP and OSU shared that in 2011, the Secretary
of the University issued two memoranda reiterating the use of A4 size paper and the
adoption of a uniform date format for UP communications (Memorandum No. OSU-
11-16 and Memorandum No. OSU-11-17). Said memoranda were disseminated
throughout the UP System, calling the attention of all UP officials, faculty and staff
members. But most of the respondents don’t seem to remember such directives. The
65
absence of a monitoring body on the compliance of each UP unit is a probable main
reason for such neglect.
Almost all units have an established system in assigning uniform title/code
for administrative issuances. A pattern on this uniform title/code system across UP
units is very apparent as reflected in Figure 5.
Figure 5. Samples of uniform titles/codes for creation of UP records
Top-level UP offices usually include the following elements to control the
creation of administrative records: type of record, initials of the head of unit, year
created, and the sequence number. This uniform titles/codes are listed in logbooks or
any equivalent control system to monitor the uniqueness of each administrative
issuance released by the office. This established coding system should be considered
in standardizing the records creation process in the University.
In addition, the respondents also shared that all their created records are
reviewed by the most senior staff and/or by the heads of units prior to release. This
practice is yet to be documented. It is also worth mentioning that none of the units
performs any high level records process at this early stage of records management
process, like adding notation for index, classification, and disposition schedule. This
66
may be attributed to the absence of a guide in processing records that are captured
and created by the units.
By practice, the subject units are capturing all the records listed in the Table
7. These are records that originate from their office and records that serve as
reference materials for the decision making of the University officials. The
importance of records capture is to establish the relationship between the record, the
creator and business context that originated it, to position the record and its
relationship within a records system, and to link it with other records (ISO 15489-1,
2001). Without the proper technique in records creation/capture, a record would
have just lost within the records system of an institution or would just have lost its
value.
As presented in Table 9, UPLB-RMO is the only office with no established
records capture and creation system. UPLB-RMO is expected to manage all records
sent to their office. These are the records captured in their system. The office is also
not expected to release any administrative issuance. Given this, it is anticipated that
the office need not establish such a system on control of records creation.
All of the offices have access to common records processors such as
photocopier machines, computers and scanners. At the moment, none of them has
plans to acquire highly technical machines for their records management.
These highlight the fact that despite the recommendation of the 1981
committee, the University still failed to craft a standard guide on the records creation
and capture. It may be inferred that the University may not find it important to craft
67
such guide as the records personnel are able to perform their task in spite of the
absence of a standard.
Records Registration
After the creation and capture of records into the records system, records
registration follows immediately. The primary purpose of records registration is to
provide evidence that a certain records has been created or captured in a records
system. Additionally, efficient records registration also facilitates retrieval (ISO
15489-1, 2001). In the University, top-level offices use one or more schemes in
registering the records. These schemes are presented in Table 10.
Table 10
Records Registration Systems in UP
Units Logbook Computer-aided system DTS
OP / / /
OSU / / /
UPD / / /
UPLB / / /
UPLB RMO / / /
UPM / / /
UPV / x x
UPOU / x /
UPMin / x /
UPB / x x
UPCebu / x /
All subject units use logbooks in the registration of records. Moreover, the
University is now utilizing the use of information and communication technologies
(ICTs) in managing records. Aside from logbooks, most of the units use document
68
tracking system (DTS) and computers-aided programs in their records registration
process.
Figures 6 and 7 show the different DTS programs used in the University. A
standard document tracking system (DTS) under the management of eUP Team was
rolled out for use of the UPSA units in 2013. President Pascual reinforced the
utilization of the UP DTS making sure that every UPSA unit uses the system. But
even with the issuance of such order, a number of units are still not using the system.
Strict compliance must be monitored by every head of UP units to ensure that their
records personnel are reminded of such directive. Units from other campuses use a
different DTS program. Like the in-house data tracking system of UPD-OC which
was developed in 2000. UPD-OC is now in the process of upgrading said system to
match the current trend in records management. UP Manila has also developed its
own Document Assessment and Training System (DATS) in 2012 which was at first
centrally managed by the Central Point of Contact (CPC) Office. The management
of the system was later on decentralized in 2014. UPLB also uses a different DTS
for records within the UPLB campus and at the same time uses the UP DTS for all
records coming in and going to the UPSA. UPOU, UP Mindanao, and UP Cebu are
now utilizing the UP DTS. The UP DTS and all other similar programs used by UP
units implement the use of barcodes to facilitate tracking. UP Visayas and UP
Baguio are still not utilizing any DTS program, even the UP DTS which is available
for use of every UP unit. The respondents from said units may be satisfied with the
logbook system, and are not aware of the benefits of using a DTS. Issuance of a
69
directive from the Chancellors and Dean and monitoring of strict compliance may
drive the records personnel to utilize the available records system in UP.
Figure 6. UP Document Tracking System (UP DTS) and UPLB’s DTS
UP DTS for all units of UP
UP Los Banos’ DTS
70
Figure 7. UP Manila’s Document Assessment and Tracking System
Six out of the 11 subject units also utilize computer-aided programs in
records registration. OP and OSU make use of an electronic document management
system (EDMS) called Laserfiche Program (see Figure 8) in the registration of
created and captured records. This is a paid software which was pilot tested in
UPSA units. Discussions are ongoing about the possible adoption of the Laserfiche
into the eUP Project (A. Lagman, personal communication, 10 June 2015).
UP Manila and UPLB RMO also use computer programs like MS Excel and
MS Access in its records registration. MS Excel is used by UPM-OC to list down all
its created and captured records. This is an additional system used by the office
aside from the logbook and DTS. UPLB-RMO also uses MS Access through a
database with pre-defined form to regulate the elements captured for records
registration.
71
Figure 8. Electronic document management system (Laserfiche)
used by OP and OSU
Table 11
Elements Captured by UP During Records Registration
Units Unique Identifier /
Control Number
Title / Short
Description
Date and
Time of
Receipt
Author, Sender,
or Recipient
OP / / / /
OSU / / / /
UPD / / / /
UPLB / / / /
UPLB
RMO / / / /
UPM x / / /
UPV x / x /
UPOU / / / /
UPMin / / / /
UPB x / / /
UPCebu x / x /
In records registration, UP captures descriptions which can help in the
identification of the record once it enters the system. Seven out of the 11 subject
72
units capture almost all possible elements in the registration of records. While UPM-
OC, UPV-OC, UPB-OC and UP Cebu are conservative in capturing records
description (see Table 11).
The University has a number of systems used in records registration. Almost
all of these systems are not documented. The use of a common records registration
system throughout the entire UP System may be easily formulated if only the current
systems used are formally recorded.
Records Classification
The next step after registration is for the records personnel to classify the
records according to the unit’s classification scheme, if any. A guide on how to
classify the records can assure consistency of work and efficient time management in
performing the process. This is a powerful tool that assist the conduct of the
institution’s business processes and as well as the processes involved in records
management. The following are the benefits of a well-established records
classification system: a) provides linkages between individual records which
accumulate to provide a continuous record of activity; b) ensures records are named
in a consistent manner over time; c) assists in the retrieval of all records relating to a
particular function or activity; d) determines security protection and access
appropriate for sets of records; e) allocates user permissions for access to, or action
on, particular groups of records; f) distributes responsibility for management of
particular sets of records; g) distributes records for action; and, h) determines
73
appropriate retention periods and disposition actions for records (ISO 15489-1,
2001).
The University is able to establish its own classification scheme but it is
apparent that many units use a simple system of classification. Table 12 summarizes
the classification style of UP.
Table 12
Classification of UP Records
Units By Types
or Forms
By
Subject
or Topic
By Office
or
Institution
By Date or
Chronology
By Numeric
or Code
Category
By
Geographic
Grouping
OP / / / / x x
OSU / / / x x x
UPD / / / / / /
UPLB / / / / x x
UPLB
RMO / / / / / /
UPM / / / x / x
UPV x x / x x x
UPOU x / x / x x
UPMin x x / / x x
UPB / / / / x x
UPCebu / / / x x x
Table 12 shows that UPLB-RMO has the most comprehensive records
classification system which includes the types or forms of the record, the subject or
topic, the office or institution, the date or chronology, numeric or code category and
geographic grouping. It is the only unit with a formal file classification guide which
is included in its published Manual of Operations and Procedures (2004). UPLB-
RMO’s system makes use of major, primary, secondary and tertiary classification. It
74
also prepares subject index for important records which serves as a record locator
(works like a library card catalogue). The indexes are written on 3”x5” index cards
and kept in the subject index files. The records officers of UPLB-RMO also
determine a number of cross-references required for a specific record (see Figure 9).
Figure 9. UPLB-RMO’s indexing and
cross-referencing system
Like UPLB-RMO, OSU and UPD-OC have specific area for records
classifiers and indexers. OSU has developed its own File Classification Guide which
is based on Functional Subject-Alphabetic Classification System. It also prepares
cross-referencing for each record. UPD-OC devised a comprehensive records master
file with cabinet location. To formalize these functions, OSU and UPD-OC are
currently drafting their manual of operations. UP Mindanao has also constituted its
Records Management Team (RMT) which is tasked to propose a records
75
classification system for the use of the campus by July 2015. All the other offices
classify the records according to the established practice or knowledge of the records
personnel. The units have no plans yet in formalizing such important records
management tool.
Having no standard tool to classify records put UP’s vital records in high
chances of getting lost. Of all the subject units, UPLB-RMO has the most advance
records classification system which UP may consider in its standardization of records
management processes.
Storage and Handling
Records storage of an institution must permit the useability, reliability,
authenticity and preservation of the records as long as the records are needed. Vital
records require higher quality storage facilities for its proper preservation (ISO
15489-1, 2001). This must be an important consideration of the subject units as they
handle the vital records of the University.
In the University, the most common practice in prepping up the records for
filing is the identification of the folder where the records belong or the classification
of records. After the records had been classified, they are usually filed in the
appropriate folders with proper label. These folders are kept and organized in steel
cabinets, wooden cabinets, shelves or racks, and boxes. Electronic storage devices
are now a famous storage facility in the University as it starts exploring the
management of electronic records.
76
The respondents shared that they sort and file their records according to the
established office classification scheme. Note that when the respondents were asked
if they have an existing filing manual, almost all of them answered none, except for
OSU, UPD-OC and UPLB-RMO. As stated in the previous section, classification
systems of the majority of UP units are oftentimes relying on the personal knowledge
of the records personnel. Respondents from UPLB-RMO shared that their filing
manual is part of their manual of operations. It serves as their guide to standardize
their filing operation.
Another issue on the handling of records in the University is the backlog in
filing. Because recordkeeping is just additional work for the assigned records
personnel, they seldom find time to file their records. Some of the respondents
answered that they only file records when they have time or when the heads of units
are away. Most of the records personnel said that in the average, it would take them
weeks or months before they could focus on filing the records. This is one of the
many disadvantages of not having a fulltime records officer in an office, especially
in top-level offices. OSU, UPLB, and UPLB-RMO are the only units with no
backlogs in terms of records filing.
77
Table 13
Records Storage Facilities in UP
Units Steel
Cabinets
Wooden
Cabinets
Shelves /
Racks Boxes
Electronic
Storage Devices
OP / x / / /
OSU / x / / /
UPD / / / / /
UPLB / x x / x
UPLB RMO / / / / /
UPM / x x / x
UPV / / / x x
UPOU / x x / /
UPMin / x / x /
UPB / x / / x
UPCebu / x x / /
UPD-OC and UPLB-RMO have all types of storage facilities as seen in Table
13. The storage facilities of said offices must have been the accumulation of
purchased records storage facilities over the years. UPLB-RMO has been doing
records management since its formal creation in 1987, while UPD-OC was the main
records unit of the campus since the reorganization of the campus. It is also apparent
that most of the offices do not have wooden cabinets anymore. Also, seven out of
the 11 units have setup electronic storage devices as records storage.
78
Table 14
Status of UP Records Storage
Units Has Adequate
Space
With Limited
Space
Ready for Future Expansion
of Active Records
OP x / x
OSU x / x
UPD / x /
UPLB x / /
UPLB RMO x / /
UPM x / x
UPV x / x
UPOU x / /
UPMin x / x
UPB x / x
UPCebu x / x
Many of the subject units mentioned that they already have limited records
storage (see Table 14). This is very alarming and may demand expansion of the
current records storage or the strict implementation of disposition to address the
issue. Notice that since 1981, as reported by a committee under OVPPF, UPSA units
have been suffering from inadequate records storage.
Only UPD-OC answered that it has enough records storage at present. The
researcher noted that UPD-OC had recently renovated their office, and that the new
office is designed for spacious records storage. OP and OSU shared that the
administration has an ongoing procurement for container vans which can augment
the limited storage areas of the UPSA units. Respondents from UPOU-OC and
UPLB-OC mentioned that there are plans to renovate their offices and bigger records
storage areas are part of the renovation plan. UPLB-RMO is also requesting
79
additional records storage centers for the fast growing records of the UPLB campus.
Note that none of the respondents shared any effort to review their records for
implementation of disposition as a solution to the scarcity of records storage.
Figure 10. UP’s records storage facilities and areas
UPLB-RMO’s records boxes in wooden
shelves
UUPP CCeebbuu’’ss
sshheellvveess ffoorr
aaccttiivvee ffoollddeerrss
OSU’s records storage
area with other office
stuff
UPD-OC’s records storage facilities
UPB-OC’s steel cabinets with labels
UPM-OC’s steel cabinets
and records boxes
UPLB-OC’s
records shelves
80
Figure 10 shows the different records storage facilities and areas of selected
units in the University. Most of the records personnel describe their records storage
areas as ‘bodega’ (storage room). This is because their records storage areas also
serves as storehouse for all other stuff and equipment of the office. This is not the
ideal setup for records storage as described by ISO 15489, especially for the vital
records which are in the custody of the subject units. All of the respondents agreed
to have a central records center for their non-active records. This may be the best
solution for the poor setup of records storage in the University.
As observed by the researcher, one reason for the scanty storage area for
records in the University is the non-implementation of records retention and
disposition schedule. The easiest solution may be the prohibition of filing of non-
record materials. Filing of voluminous magazine, books, newspapers, pamphlets,
and the likes, may take up most of the space of the records storage. UPD-OC,
UPLB-OC, UPLB-RMO, UPMin-OC and UP Cebu said that they file such materials
in their offices. UPD-OC explained that the office set a period of time before
transferring to the library or proper disposition.
Because of the current problem on records storage, many of the subject units
start to explore the use of digital storage facilities. This is further given prominence
because of the implementation of the eUP Project.
As part of effective records management, the organization must conduct a
risk analysis on the records storage and handling options that are appropriate and
feasible for its records. This includes disaster recovery plan that defines an
81
organized and prioritized response to disasters, a plan for continued regular business
operations despite disaster, and plans for recovery after disaster (ISO 15489:2,
2001). The findings of the study expose that none of the subject units has a disaster
recovery plan. At present, the units have no plans of putting up such measures to
protect the vital records of the University. Even units with well-established records
system fail to observe this important aspect of records management.
Access to Records
Formal guidelines should be devised to regulate the access to records. It is
very important that related regulatory environment or legislation be consulted in
crafting the guidelines on records access rights, conditions or restrictions as
ineffective guideline may jeopardize the institution (ISO 15489-1:2001). UP, again,
lacks on this aspect.
One important aspect in records access is the security system for
unauthorized access. The researcher observed that most of the records storage
facilities of the units are in secured places. The cabinets and boxes are placed in the
innermost area of the offices to secure the records from any unauthorized access.
Units with storage areas for non-active records are locked and only the heads of units
and the records personnel have access inside the storage room. Figure 11 shows a
sample records access restriction in UP. However, the current setup of records
access in UP should be well-documented. The document should include plan for the
ideal records storage facility and area locations to ensure the security of records.
82
Figure 11. Securing access to UP records
The respondent from OP shared that EDMS program used by the office needs
review in terms of access rights and restrictions. At present, all OP staff are sharing
one user account. The integrity of the records will be preserved if different user
accounts will be created with different access rights and restrictions. The University
is yet to renew the license of Laserfiche, thus UP cannot acquire support from the
software provider. The eUP Team is in-charge of the program, but the OP
respondent opined that the assigned program administrator is not that competent to
address this current issue.
Despite the absence of a standard records access in UP, there is enough
security measures in place which can be studied and collated to form part of the
standard records management program for UP.
Use and Tracking
Records that are effectively registered in the records system can be easily
traced to identify outstanding action required, enable retrieval, prevent loss, monitor
83
the usage for system maintenance and security, and maintain an auditable trail of
records transaction, and identify the origin of the records in case system upgrade or
migration (ISO 15489-1:2001). In the University, the different units have formulated
its own tools in finding records. Table 15 summarizes the finding aids used by the
top-level offices in accessing their records.
Table 15
Finding Aids used by UP units
Units Index
Cards Inventory
Compiled
Guides
Computer-
aided
Program
Knowledge
of the Files Others
OP x x x / / Logbook,
DTS, ERMS
OSU / / / / / Logbook,
DTS, ERMS
UPD x / / / / DTS
UPLB x x x / / DTS
UPLB
RMO / / / / / DTS
UPM x x x x / Folder label
UPV x x x x /
UPOU x x x x /
UPMin x x x x /
UPB x x x / /
UPCebu x x / / /
The common finding aid used by the subject units is the use of computer in
tracking records. The respondents considered the use of computer as the most
efficient way amongst all the listed tools. But respondents also shared their
reservations in using this tool such as DTS. Most of them admitted that because of
84
the lack of documentation, guide and proper training, their use of DTS is far beyond
perfect.
Another daunting fact is that most of the offices without reliable finding aids
are relying heavily on their knowledge of the records to find it. This practice may
cause several records problems like loss of records, and the inability to provide the
final version of an amended record, the latest version of an updated record, and other
relevant records on the given search topic.
The subject units, being the main records units of their respective campuses,
are frequently asked for records. This being said, the units have devised their own
system to manage this function. Table 16 provides a glimpse on the systems used by
the subject units in accommodating request for records. Table 17 shows the systems
used by UP in tracking active and on loan records.
Many of the respondents shared that in the past, they let other offices borrow
or loan the records. But because of the absence of a reliable system to track down
records, most of the time, they forget about the transaction and the records are never
returned to them. They learned their lesson and their current practice is to provide
the requestor a photocopy of the record and return the original to its storage. As seen
in Tables 16 and 17, only OSU, UPD-OC and UPLB-RMO have a system for
loaning of records. Their guides in handling request for records are detailed in their
manual of operation (OSU’s and UPD’s are yet for finalization). UPLB-RMO’s
manual of operations covers charging out of records, charging in returned records,
refiling borrowed records, and following up borrowed records (see Figure 12).
85
Table 16
Accommodation of Records Request in UP
Units Borrower's
Slips
Receipt
Slips Others
OP x x Letter-request then provide photocopy or
scanned copy (e-file)
OSU x x Letter-request then provide photocopy with
OSU stamp or certified true copy stamp
UPD / / Letter-request
UPLB x x Provide photocopy
UPLB
RMO / x
With established loaning system, use of charge-
out card.
UPM x x Provide photocopy
UPV x x Logbook then provide photocopy
UPOU x x Logbook, recollection, provide photocopy
UPMin x x Logbook, provide photocopy
UPB x x Provide photocopy
UPCebu x x Logbook, provide photocopy
Figure 12. Forms used by UPLB-RMO for on loan records
86
Table 17
Tracking System for Active and/or On Loan UP Records
Units Recall
Slip
Follow-
up Slip
Tickler
Slip
Computer-
aided
System
Others
OP x x x / DTS, EDMS, Logbook
OSU x x x / DTS, EDMS, Logbook
UPD / / x / DTS
UPLB x x x / DTS
UPLB
RMO / x x /
File control slip
UPM x x x / DTS
UPV x x x x Logbook
UPOU x x x x Logbook, notebook notes
UPMin x x x x Logbook
UPB x x x x When someone followed-up;
notes on the table; logbook,
reminder from the Chancellor
UPCebu x x x x Logbook
The release of confidential records is also a major consideration. Almost all
units have no clear guidelines on how to process requests concerning confidential
records. These sensitive records must be managed by the units judiciously to protect
the records personnel, the office and the entire University. The respondents
mentioned that release of confidential record is upon the approval of the head of unit
through the letter-request sent by the requesting party.
Like other records management processes, most UP units have no
documentation on the use and tracking of documents. The records personnel are
using the practice they deem fit and appropriate for the record. Most of the offices
also utilize their DTS in action-tracking and location-tracking of records.
87
Implementation of Disposition
Retention and disposition is an important records management process to
keep the institution away from the different records-related issues. One way to
initiate the implementation of records retention and disposition schedule is the
regular conduct of records inventory and appraisal. This gives the records personnel
overview of the current holdings of the office and the status of each record. When
asked about records inventory and appraisal, many of the respondents said that they
have no regular schedule. Most of the units are not aware of the records inventory
and appraisal form created and recommended by NAP.
OSU, UPD-OC and UPLB-RMO shared that they inventory records annually.
Respondents from OP and UPM-OC mentioned that they inventory records without
regular schedule, it is usually done as the need arises. Respondent from UP Baguio
shared that when she came aboard in 1996, she attempted to inventory records to
familiarize herself with the records of the office. She was able to come up with a list
of record folders. She added that she plans to conduct the same procedure when her
schedule permits her. It is unfortunate that the electronic file of this list was
accidentally deleted during her computer upgrade.
Respondents from OSU, UPLB-OC, UPLB-RMO, and UPB-OC are
complying with the GRDS of NAP, agency RDS, and rules/guidelines approved by
the agency relating to records retention and disposition. All the other units shared
that records retention and disposition is based on their personal assessment and
experience. It is also very important for UP to have its own records retention and
88
disposition schedule for its unique records, which should be patterned after NAP’s
GRDS. This schedule should be endorsed to NAP for approval.
Table 18 reflects the reasons for records retention of the 11 subject units. It
shows that all of the respondents keep records that concern the past and present
decisions of the institution, to make it available as part of the institutional memory,
and to provide information for decisions and activities in the present and in the
future. Except for UPV, all units also keep records as evidence of the past and
present activities to meet accountability obligations. Also noticeable is that most
units do not implement RDS to dispose valueless records as early as possible. It was
earlier mentioned that the respondents are not considering records disposition as an
important solution to the many records issues that they are experiencing.
The findings on the implementation of records and disposition of records in
the University may sound alarming but the records personnel are able to work around
this poor practice. The most common solution in the University is by refraining from
disposing of any record, as shown in Table 18. This is a common practice in the
young campuses like UPOU-OC, UPMin-OC, UPB-OC and UP Cebu. The records
personnel from said campuses admitted their hesitation to dispose any record fearing
they might just dispose vital records. Valueless records are not clearly defined
making it harder for records personnel to decide on the retention and disposition. In
exceptional cases, record destruction is conducted upon instruction from the head of
unit.
89
Table 18
Purposes of Records Retention and Disposition Schedule in UP
Purposes of RDS in UP
Units
OP
OS
U
UP
D
UP
LB
UP
LB
RM
O
UP
M
UP
V
UP
OU
UP
Min
UP
B
UP
Ceb
u
Retaining information concerning the
past and present decisions as part of the
institutional memory and information
about decisions and activities in the
present and in the future
/ / / / / / / / / / /
Retaining evidence of the past and
present activities to meet accountability
obligations / / / / / / x / / / /
Eliminating as early as possible and in an
authorized and systematic manner,
records which are no longer required for
the operations and activities of the office
/ x / / / x x / x / x
Retaining the context of the records
which will enable future users to judge
the authenticity and reliability, even in
cases where records systems in which
they are retained have undergone
significant changes
/ / / / / / x / / / x
Identifying the enforceable or legitimate
interest that stakeholders may have in
preserving the records for longer than
they are required by the office itself
/ / / / / / x / / / x
Identifying and assessing legal, financial,
political, social, or other positive gains
for preserving records to serve the
interest of research and the society
/ / / / / x x / / / /
Respondent from OSU shared that because of the success of their eOSU
Project, the office is now ready to dispose records by transferring non-active records
to the University Archives and Records Depository (UARD) of the UP Main Library
(see Figure 13). With consent from the Secretary of the University, the records
90
officer is now scheduling transfer of several labelled boxes to the library. Records
with age 10 years and up, and are converted to e-records are now being processed for
transfer using their records transfer form. The records transfer form are also
digitized and filed to the ERMS for easy searching. However, the respondent shared
that this process is not discussed in detail in their draft manual of operations.
Figure 13. OSU records for transfer to the
University Archives and Records Depository (UARD)
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Like OSU, ULPB-RMO has an established and documented transfer process
for non-active records. The guidelines are included in their manual of operations,
listing all the steps needed to accomplish the transfer. Figure 14 presents the records
transfer procedures of UPLB-RMO.
Figure 14. UPLB-RMO’s records transfer procedure
Documentation of the Records Management Processes
Documentation of the established policies, practices and procedures is
another important consideration in records management. Documentation can address
various issues on the diverse practices throughout the University which facilitates
easy dissemination and review of the established practices.
It was frequently mentioned in the earlier sections that most of the subject
units have no documentation on how records are managed, except for UPLB-RMO,
OSU and UPD-OC. UPLB-RMO has Manual of Operations and Procedure which
was formalized in 2004. OSU and UPD-OC have drafted their manual of operations
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and policy which are for finalization and approval of the heads of units. These
documents describe some selected processes and procedures on records
management. ISO 15489 suggests that institutions should comprehensively
document every records management processes. This should also be the aim of UP,
to religiously document every endeavor on records management to build up the
necessary foundation on its standardization.
It was mentioned in Chapter II that several committees in 1970s and 1980s
had studied the records management in the University. Recommendations were also
formulated by said committees. However, the researcher was only able to obtain the
copy of the 1981 committee report. This is one of the unfortunate cases of records
loss in the University. If only the University had strictly implemented the
recommendations of the committees, no vital record would have been lost and will
rather be preserved for future references. Those references are good starting point
for researches like this paper.
Use of Records Management Tools
A well-established records management practice needs support through the
use of appropriate records management tools. Some of the respondents from OP,
UPOU, UPMin, UP Baguio and UP Cebu admitted that though they have on file the
listed records management tools in Table 19, they hardly consult it in their daily
recordkeeping tasks. Other existing records management tools used in the
University are listed in Table 19.
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Table 19
Records Management Tools Used by UP
Units Records Management Tools
OP Draft manual on use of EDMS, outdated master list of files and
folders, NAP GRDS
OSU Draft manual of operation, file classification scheme, NAP GRDS
UPD
Draft records management policy, draft manual of operations, draft
manual on digitization of records, NAP GRDS, records inventory and
appraisal, various forms to document daily operations
UPLB None
UPLB-RMO
File classification scheme/guide, indexing guide, records inventory
and appraisal guide, NAP GRDS, agency RDS, requisition and
charge-out procedure in issuing records, Manual of Operations and
Procedures, various forms to document daily operations
UPM None
UPV None
UPOU File classification scheme/guide
UPMin PRMA controlled vocabulary, PRMA RDS, PRMA records
classification
UPB Outdated master list of files and folders
UPCebu File classification scheme/guide, NAP GRDS
Only UPLB-RMO has a formal manual of operations for records
management. The manual of operations of OSU and UPD-OC are now being
finalized. Ideally, every UP unit must have a manual on how to deal with records,
but a common program or manual will surely help the entire University in dealing
with records. Documenting the records management practices of the University will
ensure continued business operations in spite of changes in the institution.
It was initially planned to get copies of all the records management tools used
by the UP units, but because most of these documents are yet for finalization, there
94
were records personnel who hesitated the release of a copy. But the respondents
allowed the researcher to read on the draft manual and tools.
Monitoring and Auditing
ISO 15489 prescribed the conduct of monitoring and auditing of the
management of records to ensure compliance with the organization’s established
standards, ensure that records will be accepted as evidence in a court of law, if
required, and improve the organization’s performance. RA 9470 also suggested
every government unit to have a records management improvement committee, an
advisory body on the development of records management. NAP is also mandated to
conduct periodic inspection of records holdings of government offices every five
years. But according to the records personnel of the top-level offices of the
University, they have not received any related request from NAP. NAP should
endeavor to perform its mandates so as to set as the role model in standardizing of
records management.
The researcher found out that none of the subject units has an established
monitoring and auditing program within their campuses. Hence, none has conducted
a recent audit nor devised an audit tool. But it was highlighted in the earlier sections
of this chapter that UP Mindanao constituted a Records Management Team 2014-
2015 which is tasked to:
1. Recommend policies and guidelines for the proper classification,
maintenance, and disposition of all records in the University;
2. Establish a University Records Management and archiving
System;
3. Recommend the best possible ways to store and preserve
University records; and,
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4. Develop a University Records Management and Archiving
Manual. (Memorandum No. SBC 2014-045, Concepcion, 2014)
In Chapter II, the researcher narrated the efforts of the University to review
the current state of the records management in the University, but those were in late
1970s. ISO 15489 suggested monitoring and auditing “regularly at intervals agreed
and set down in the organization’s records management policy” (ISO 15489-2:2001,
p. 22) while RA 9470 specifically prescribed to conduct such procedure every 5
years. The constitution of a standing committee on UP’s records management will
ensure regular monitor and audit.
Audit also helps the institution to deter the violation of any regulatory
environment and legislation on records management. Like for the case of UP, a
number of respondents (UPM-OC, UPLB-OC, UPV-OC, UPMin-OC, and UP Cebu)
stated that they are not aware that of records-related offenses are punishable under
the law. Article V of the RA 9470 states that:
a person who willfully or negligently damages a public records or
disposes of or destroys a public record other than in accordance with
the provisions of RA 9470 or contravenes or fails to comply with
any provision of said Act shall be deemed to have committed an
offense. (Official Gazette, 2009, p. 1728)
Moreover, Rule 15 of Article 15 states that said offenses are punishable by:
a fine of not less than Five Hundred Thousand Pesos
(PhP500,000.00) but not exceeding One Million Pesos
(PhP1,000,000.00) or be imprisoned for not less than five (5) years
but not more than fifteen (15) years and/or both fine and
imprisonment at the discretion of the court without prejudice to the
filing of administrative charges that would result to such public
officer’s perpetual disqualification from public service, and
forfeiture, in favor of the government of his salary and other lawful
income. (Official Gazette, 2009, p. 1728)
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Compliance with the regulatory environment and legislation must be
considered to protect UP personnel and the University as well. Punishments for
records-related offenses are implacable for anyone to disregard the importance of an
effective records management. The disregard of the record personnel of UP on
records management monitoring and audit might be attributed to their ignorance of
the cited legal punishments. The conduct of training workshops for records
personnel will help in the dissemination of such important information.
Training
Training on records management is not only for personnel with
recordkeeping tasks, it covers all personnel of the institution with any kind of
responsibility for records. ISO 15489 suggests that institutions should have training
programs that promote wide understanding about records management functions and
its benefits. Tailor fitting of training program according to the needs of a particular
group or staff member ensures the effectivity of the training (ISO 15489-2:2001).
Having said this, pursuance of training programs mean that institution should
allocate budget for it. Inclusion of training programs in the annual budget of an
institution makes records personnel feel that they are valued, hence motivation to
enhance and develop their potentials are achieved.
NAP has been an active partner of every government units, as well as private
institutions, in training records personnel. One of the functions of the NAP is to
“conduct training programs on records and archives management including the
establishment of an archival system of both public and private sectors” (IRR of RA
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9470, p. 10). Through the years, NAP has been offering different training programs
for all records personnel in the Philippines. They have been diligently disseminating
these training programs to all concerned records personnel. A number of records
personnel of UP have attended a series of trainings and seminars of NAP.
Respondents from UPLB-OC, UPM-OC and UP Cebu shared that since their
assignment to recordkeeping tasks, they have yet to attend any formal training on
records management. They added that basic training on handling records would
greatly help them in performing their record related tasks. As for other units,
respondents delightedly mentioned that their administrators are very supportive of
their desire to learn. They also added that they plan to attend advance trainings on
management of e-records, current innovations and trends in records management,
and the likes. All the respondents expressed their inclination towards a regular
training schedule. Most of the time, they are sent to training only after a year or after
a few years because they wait until new training modules are offered.
It is also worth mentioning that in UP Diliman, trainings and interventions
are offered by the UP School of Library and Information Studies (SLIS) to share
their expertise on archiving and records management. SLIS is currently providing
assistance to the different units of UP Diliman by conducting trainings for the
records personnel and by improving the records management practices of the units.
This effort should be reinforced by the administration and replicated throughout the
campuses to initiate the establishment of a training program for UP’s records
personnel.
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Though NAP and other agencies have been active partners of the University
in developing the learning and skills of the staff, a program coordinator for UP can
help ensure that appropriate training programs are available to all personnel of UP
with regular schedule. The training program coordinator will communicate the
needs of UP personnel to NAP and other similar agencies and come up with a regular
training schedule. Budgetary allocation for this program may also be managed
effectively because of the dedication and expertise of the assigned coordinator.
Electronic Records in UP
With the implementation of eUP, various units of UP are obliged to learn
how to manage electronic records. Many of the UP offices are now starting to
digitize their records not only because of the office requirement but also to solve
their need for more physical records storage area. However, the implementation of
electronic records management must be grounded in the basic principles of the
existing records management program of an institution. Since UP has no established
program yet, the management of electronic records is a very crucial endeavor.
Table 20 tabulates the mechanisms used by the subject units in managing
electronic records. Five out of the eleven subject units (UPLB-OC, UPM-OC, UPV-
OC, UPB-OC and UP Cebu) are still not ready to manage electronic records.
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Table 20
Electronic Records Management in UP
Units Digital
Storage
Hardware and
Software
Requirements
Backup
Systems
Maintenance
Process Manpower
OP / / / / x
OSU / / / / x
UPD / / / / x
UPLB x x x x x
UPLB
RMO / / / / /
UPM x x x x x
UPV x x x x x
UPOU / / / x x
UPMin / / / / x
UPB x x x x x
UPCebu x x x x x
Among the units with an established electronic records management
program, UPLB-RMO has the most comprehensive program (see Figure 15). This
digitization project started since 2011. It is manned by 6 contractual staff members
and supervised the senior records officers of UPLB-RMO. The budget is requested
annually from the Chancellor of UPLB upon submission of a progress report. Also,
this project is well-documented but not yet part of their manual of operations.
100
Figure 15. Electronic records management in UPLB-RMO
The program consists of the following procedures: grooming, scanning,
extracting, storing, and indexing. The office uses three heavy-duty scanners which
scans 500-800 pages a day. It also has the appropriate back-up system with five
external hard drives which are kept in their different records storage centers. Reports
General files cataloging system for UPLB-
RMO’s records
Prepping process for records scanning
Back-up systems for
UPLB-RMO’s electronic records
UPLB-RMO’s electronic records manager program
101
generation and search functions are enabled through the software called the
Automated Document Management System. According to respondents from UPLB-
RMO, the project is only available via intranet. UPLB has no plans yet for the full
implementation of the project. This serves as a good benchmark and should be
reviewed if the University plans to standardize its electronic records management.
OP and OSU are now utilizing an electronic document management system
(EDMS) called Laserfiche to manage its electronic records. Both offices have no
formal documentation of the project, but OP has crafted draft guide. Back-up
systems and maintenance are in place but lack maturity. Maintenance is through the
eUP Team but the respondents believe that the team needs expert training to
maximize the full potential of Laserfiche. Manpower is yet another issue as a
dedicated staff member to focus on this initiative is a necessity. At present, the
current records personnel of the subject units are also the ones in-charge of the
project.
Aside from the Laserfiche Project, OSU also launched its eOSU Project (see
Figure 16). OSU is now maintaining a website where the office uploads the scanned
copy of the BOR decisions or the UP Gazette. Records from 1970s are available for
download in the website of OSU. A search function is also available in the website.
The records are uploaded and downloaded in searchable PDF formats.
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Figure 16. The eOSU Project
The University should be wary about the implementation of electronic
records management as the number of records issues faced by UP in managing its
paper records might be carried to the electronic records as well. Before getting into
the full implementation of e-records management, the administration should first
focus on addressing the current issues on paper records.
Management of Archival Records in UP
After review and inventory of the records, the usual practice of the subject
units is to transfer all archival records to their respective libraries. The archival
records are usually arranged in a box with appropriate label, according to some
respondents. As a documentation of such transfer, offices make use of their own
version of a transfer list form.
103
As discussed in Chapter II, on 7 June 1974, President Salvador Lopez
designated the University Library as the Archives of the University which formalized
and standardized the handling of archival records of the University. This may be the
basis of the respondents for sending their archival records to their libraries. The
respondent did not mention this directive or any directive for such practice. As
mentioned earlier, the records created and captured by the subject units are
considered vital records as it serve as basis for major decision making in the
University. It is in this light that the records personnel of the subject units ask the
expertise of the librarians in managing such important records. Some UP units
perform minor archival tasks, like in UPD-OC. UPD-OC respondent shared that he
does preservation methods for some archival records but admits that he prefers
sending it to the librarians for expert handling.
Reinforcing the 1974 directive will ensure a standard management of archival
records in UP. This is very important to preserve the identity of UP as embodied by
the records.
UP’s Compliance with the General Provisions of ISO 15489 and RA 9470
The self-audit tool crafted by the researcher based on the best practices stated
in ISO 15489 and RA 9470 enables the assessment of the compliance of the
University with the international and national records management standards. The
self-audit tool was applied to every unit. A general summary was also drawn for
better appreciation of the result (see Appendix I).
104
The University achieved an overall compliance rating of only 13%. The
following units got the highest ratings: UPLB-RMO got 52%, OSU got 28%, and
UPD-OC with 17%. The rest of the subject units got less than 10% compliance
ratings.
It is also worth noting that 24% partial compliance rating was achieved by the
University. UP may prioritize the fulfillment of the lacking requirements for
eventual compliance of these provisions. The review of UP’s partial compliance
would help increase the compliance rating of the University.
The self-audit tool also highlighted the 63% overall non-compliance rating of
the University. UPM-OC and UPV-OC yielded more than 80% non-compliance
which is very alarming. This suggests that the UP’s records management is in
distressing state, particularly in said campuses.
The following provisions are highly achieved by the UP units: use of logbook
or equivalent system to record all official records in chronological order with 100%
compliance; allocation of storage for non-current record with 73% compliance; and
for recently sending records personnel to a training program with 64% compliance
rating. Despite these high ratings, the earlier discussions revealed that UP units have
varying records registration practices, inadequate records storage and no established
training program for its records personnel.
Out of the 46 major provisions listed in the self-audit tool, UP failed to meet
7 provisions of the ISO 15490 and RA 9470. All units failed to comply with the
following provisions:
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1. design and implementation a records system to carry out and support the
records management processes of the institution;
2. existence of rules in the proper turnover of records to successor/NAP;
3. separation of records for disposal from those for further retention as
suggested by NAP;
4. existence of a disaster recovery plan for records;
5. conduct of a self-audit / review of records management practices;
6. establishment of a preservation program for archival records; and,
7. provision for the regular review of training needs of personnel in-charge
of records.
It is very unfortunate that even the basic and most important best practices on
records management are not performed by the records personnel of UP’s top-level
offices. This mirrors the current skills and competencies of the records personnel of
the University which are way below the accepted standards on records management.
Detailed result of the self-audit tool is presented in Appendix I-A.
As presented and discussed in the earlier sections, the researcher surmises
that the common reason for non-compliance of the records personnel is mainly
because of their unfamiliarity with the best practices prescribed by the ISO 15489
and RA 9470. This fact is also shown in the self-audit tool as the University got 0%
for observance and familiarity with any regulatory environment related to records
management. It would be best if UP administration could prioritize the training of
106
the records personnel before any grand effort to improve and standardize the
practice.
Common Records Problems in UP
After presenting the current status of the records management practices in the
University, this section describes the perceived status of and difficulties on the
records management in UP. The results presented here are answers from the main
respondents, heads of units and selected records clients of the University.
Most of the heads of units answered that they are not satisfied on how the UP
units handle their records. The President of the University, the head of the entire
institution, also expressed his discontent about the records management practices of
the University. The chancellors of UP Diliman, UP Los Baños, UP Manila, and UP
Mindanao, as well as the Dean of UP Cebu also shared the same observation as the
President’s. Only four heads (Secretary of the University, and the Chancellors of UP
Visayas, UP Open University and UP Baguio) said that they are satisfied on the
records management practices in UP. These feedback from the heads of units sustain
the findings of the earlier committees which highlighted the poor state of records
management in UP.
Shown in Table 24 are the perceived records issues of the heads of unit. Note
that only two heads said that they see no records issues in the University, particularly
in their offices, as compared to the four satisfied heads which is mentioned earlier.
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Table 21
Perceived Records Issues Of Heads of Units
Units Common Records Management Issues
OP Missing records; Misrouted records; Difficulty in
retrieving/accessing records; Skills of the staff
OSU None
UPD Difficulty in retrieving/accessing records; Difficult prioritization:
"urgent" label used on nearly everything
UPLB Missing records, Misrouted records, Difficulty in
retrieving/accessing records, Skills of the staff
UPM Missing records; Misrouted records; Difficulty in
retrieving/accessing records; Skills of the staff
UPV Missing records, Misrouted records, Difficulty in
retrieving/accessing records
UPOU None
UPMin Misrouted records; Difficulty in retrieving/accessing records; Skills
of the staff
UPB Skills of the staff (at least some)
UP Cebu Slow routing or lack of knowledge on current status of action taken
on records
Notice that two out of four satisfied heads have something to share about
their perceived records issues. This may suggest that the heads maybe satisfied on
how their offices manage records but still notice some inevitable records issues
caused by the current state of records management in the University, like the issue
raised by the Chancellor of UP Diliman regarding the difficulty in prioritization of
records. He raised that almost all records received by his office are marked urgent.
108
This again highlights the problems in the records system of the University,
particularly in routing of records.
The main respondents were asked to rate the following perceived records
issues in storage and retrieval of records, perceived causes of the issues, and the
current status of UP’s records management. Scores should be from 5 to 1 (5 –
strongly agree, 4 – agree, 3 – neutral, 2 – disagree, 1 – strongly disagree). The
results are surprising as the means of the results are generally at the rate of 3 which
means that the respondents are more likely to be neutral in all the listed issues and
situations. However, OP, UPM-OC, UPMin-OC, and UPB-OC confirmed that
records issues on storage and retrieval are currently present in their offices (see Table
22). Six out of the 11 units answered that because old records are not destroyed at
the right time, records issues on storage and retrieval are aggravated. This is another
interesting finding as it was earlier mentioned that records disposition and retention
is not a considered a solution on the inadequate records storage. But yet, majority of
the records personnel admitted that improper RDS is one of the causes of records
issues.
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Table 22
Common Difficulties Experienced in Storage and Retrieval of Records
Common Difficulties in Storage and
Retrieval of Records
Units
Mea
n
OP
OS
U
UP
D
UP
LB
UP
LB
RM
O
UP
M
UP
V
UP
OU
UP
Min
UP
B
UP
Ceb
u
records sought have been lost,
destroyed, or misarranged 5 1 3 5 2 4 3 1 4 3 4 3
records retrieval tools such as
inventories, indexes, and lists, are
inefficient
5 1 1 3 1 4 3 3 5 5 5 3
old records are not destroyed at the right
time 3 3 4 1 4 4 5 3 5 5 1 3
there are some hindrances to attaining
records 4 1 3 4 2 4 3 1 5 5 2 3
filing system is not efficient 5 1 1 4 1 4 3 1 4 1 3 3
Mean per unit 4 1 2 3 2 4 3 2 5 4 3
Many respondents gave conservative rates for their perceived causes of
records issues. Many disagree that issues are due to superiors’ disregard of their
recordkeeping tasks. But a number of respondents agreed that the inefficiency of the
records management system, problematic retrieval of appropriate records, and the
problematic behavior of other workers aggravate the current records issues in their
offices (see Table 23). Only three units admitted that the listed entries are the
common causes of records issues. None of the respondents shared a different
perceived causes of UP records issues.
All the five selected records clients of the University answered that they are
satisfied with UP’s records management but expressed the presence of the following
records issues: hostile records managers/staff, absence of a standard practice, poor
110
records retrieval skills - delay in providing requested records, and records provided
sometimes don’t meet their stated criteria/requirements. These observations must be
considered and addressed by the University as these reflect the services provided by
UP to their stakeholders.
Table 23
Perceived Causes of Records Problems in UP
Perceived Causes of Records Problems
Units
Mea
n
OP
OS
U
UP
D
UP
LB
UP
LB
RM
O
UP
M
UP
V
UP
OU
UP
Min
UP
B
UP
Ceb
u
Managers sometimes do not pay enough
attention to our work 2 3 4 3 1 2 3 1 3 1 1 2
Ineffective bureaucracy and slow
communication channels 4 3 3 4 1 4 3 1 3 1 3 3
Inefficiency of the records management
system used for formal communication 4 5 2 1 1 4 3 1 4 3 5 3
Retrieval of required records can be
problematic 4 4 3 1 1 4 3 1 5 3 4 3
Problematic behavior of other workers 4 4 3 1 2 3 3 1 5 2 2 3
Mean per unit 4 4 3 2 1 3 3 1 4 2 3
Table 24 shows that majority of the units agreed that the administrative and
legal regulations of UP are enough to support the smooth business processes of the
University. But still, a few respondents signified their confirmation that records
management in the University is poorly implemented. Note that four units agreed
that the current records management of UP is running smoothly and six units
signified their impartiality. Only UPLB-OC stated its dissatisfaction on the
University’s handling of records.
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Table 24
Perceived Status of Records Management in UP
Perceived Status of Records Management
in UP
Units
OP
OS
U
UP
D
UP
LB
UP
LB
RM
O
UP
M
UP
V
UP
OU
UP
Min
UP
B
UP
Ceb
u
Mea
n
The institution's administrative system is
operating without problems. 2 5 2 5 1 2 3 5 1 4 4 3
There are no communication and
coordination problems between managers
and their subordinate staff.
3 5 3 3 1 2 3 5 3 4 5 3
There are no communication and
coordination problems among the staff. 3 5 3 1 3 2 3 5 2 4 3 3
Administrative and legal regulations are
adequate to support the smooth running of
the work processes within your working
unit.
3 5 2 3 5 5 3 5 3 2 4 4
The records management system is effective
and efficient for formal communication,
legal requirements, and decision making in
my university.
3 5 1 2 5 4 3 5 3 3 5 3
Mean per unit 3 4 3 2 4 3 3 4 3 3 4
In summary, the pre-identified records issues in Chapter I are confirmed to be
the same perceived records issues of the respondents of the study. The absence of a
standard records management program, ignorance on the benefits of effective records
management program, hostile and confused records managers, poor storage and
retrieval practice, and weak motivation to move forward are concomitant to the
major records issues in the University. The records personnel may be impartial to
the listed issues but still this impartiality tells that they could not agree that records
management in UP is running effectively and efficiently.
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The following are the proposed solutions of selected records clients of the
University to address the current records issues:
Standardization of the records management practices.
Common tools like thesaurus, classification, indexes, and the likes,
should also be considered in standardizing the program.
Professional and permanent staff should handle the records/archives of
the UP units.
Records staff with proper training will surely help in the standardization
of records management practices.
Aside from the training of records personnel, training all the
administrators and other staff of the University will be a good approach.
Since eUP is now part of the business process of the University,
electronic records management must be studied before full
implementation and should also be founded from the basic principles of a
sound paper-based records management program.
All these suggestions are considered in coming up with recommendations
laid out in Chapter V.
Support Towards a Standard UP Records Management Program
UP has been very active in standardizing some of its business practices
throughout its campuses. At present, the University has ongoing study to standardize
its diploma and grading system. It already launched the UP DTS which standardizes
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the tracking system of the UP units and implemented eUP to have a common
platform for information management of student academic information, human
resources information, financial, supplies procurement and campus management, and
executive information. These are all in support of President Pascual’s OneUP
initiative. In line with these efforts, it is also timely to plan about the standardization
of records management in UP.
A way to address the low compliance rating and the many records issues is
through the standardization of the records management practices in the University.
This effort should be done collectively and should also consider inputs from all the
stakeholders of the University for a comprehensive output. The standardization
effort should capture not only the best practices prescribed by the regulatory
environment but also the established best practices of the units of the University,
hence collaboration is very important.
At present, minor efforts to regulate some recordkeeping functions are in
place. UP Manila’s Central Contact Point (CPC) Project in 2012 helps the campus in
addressing issues on misrouted and missing records. It also standardized the
receiving and releasing function of the entire campus. This project is UP Manila’s
initial step in the major standardization of records management. According to UPM-
OC’s respondents, there is a pending plan for a standard program for its records. UP
Mindanao also took preliminary steps to initiate the standardization effort. It
recently constituted a Records Management Team (RMT) in 2014.
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UPLB-RMO also mentioned their initiatives to share their experiences in
standardizing the recordkeeping functions. They are tapped by UP Mindanao as
resource persons by the RMT to help them in formulation of the team’s output which
is due in July 2015. The chief records officer of the RMO also shared that they also
went to UP Baguio, and plans to visit other campuses of the University as well. She
also added that they had tried to reach out to UP administration through the Office of
the Vice President for Administration to help the University in standardizing its
records management, but they have yet to receive any reply (A. Talatala, personal
communication, 30 April 2015). They plan to resend the letter but this time course
directly to the President.
In the formulation of a records management program for UP, the earlier
efforts to study and standardize records management in the different units must be
accounted. This is the reason why documentation is very important in this endeavor.
As required by ISO 15489, UP being a system of universities and college
should exert utmost effort to review the business operations in order to determine the
needs of the University in terms of records. The reports of the records management
committees in the past would have been a great help if only it was preserved and
made available for standardization efforts. The University should also put this effort
in its priority list to ensure completion and implementation. The skills of the
records personnel, the implementers, should also be a consideration and their full
support and motivation should be solicited.
115
All the 32 respondents affirmed their support towards the standardization of
management of University records. Eight out of the 10 heads of units said that they
are willing to fund the standardization. Even the University President gave his
assurance to fully support such effort.
One of possible hurdles in the standardization of records management in UP
is the readiness and mindset of the UP stakeholders. An office or a committee must
be assigned to take the lead in this endeavor to ensure its success. In constituting a
committee, it is important that the records personnel, University’s archivists,
librarians, and experts from the School of Library and Information Studies in
Diliman must be included as members. Another hurdle would be the reconciliation
of diverse records management practices in the University. This would not be a
problem if the practices are well-documented.
This is not an easy task and may take a number of years before UP could
craft the appropriate standard program for its records. Thus interim solutions may be
devised like the formulation of records management, conduct of University-wide
records inventory, and creation of standard guides in dealing with UP records. It was
also opined by the OSU respondents that the standardization may be initiated in one
office or campus first before the university-wide implementation. This will fast-
track the standardization and may ensure greater chances of success.
CHAPTER V
SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
After the presentation of results and analyses in Chapter IV, summary,
conclusions and recommendations on the current status of records management in
UP are laid out in this chapter.
Summary
The results of the data gathering showed that UP’s records management
practices are far beyond the best practices prescribed by ISO 15489 and RA 9470.
The University’s overall compliance rate is just 13% as measured by the self-audit
tool. The high rate of non-compliance (63%) calls for UP to study and adopt the best
practices prescribed by the two regulations. This low compliance rating was
supported by the number of issues raised by the stakeholders of UP.
In spite of the absence of a standard program, some UP records offices/units
have met a number of provisions of the ISO and RA. UPLB-RMO got 52%, OSU
got 28% and UPD-OC achieved 17% compliance ratings. These offices performed
well in managing its records compared with the other top-level offices in UP.
Reviewing and sharing the established best practices of these units throughout the
campuses will help achieve higher compliance rating and may also expedite the
standardization of records management in the University.
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Principal Findings of the Study
On UP’s Compliance with ISO 15489 and RA 9470
The self-audit tool measured UP’s overall compliance rating with ISO 15489
and RA 9470 at only 13%. The highest compliance rating was achieved by UPLB-
RMO with 52%, followed by OSU with 28% and UPD-OC with 17%. The least
compliant units were UPV-OC and UPB-OC with 4% and UP Cebu with only 2%
compliance ratings.
In all the listed best practices in the self-audit tool, UP was able to achieve
100% compliance rating in only one aspect, particularly the use of logbook or
equivalent system in the registration of records. UP also accumulated a total
compliance rating of 73% for the allocation of storage for non-current record. The
University got 64% compliance rating for the recent attendance of its records
personnel at training programs. But despite high ratings on these practices UP still
needs to address a number of issues on these practices. Unfortunately, UP got 0% to
less than 50% compliance ratings for a number of entries in the self-audit tool.
Non-compliance of the University may be attributed to the non-familiarity of
records personnel with any regulations on records management, particularly the ISO
15489 and RA 9470. Although a number of the respondents said that they are aware
of said regulations, its provisions are still not implemented in the campus as
compliance is not a major concern of UP. Also, most records personnel are not
aware of the punishments under the law for records-related offenses.
118
Only two records offices were officially created in the University. The
Office of the Secretary of the University and of the Board of Regents (OSU) was
created through the Charter of UP (RA 9500). The second one is the UPLB-RMO.
Additionally, only 2 out of 17 records personnel are holding records officer
positions. Except for respondents from OSU, UPD-OC, and UPLB-RMO, all the
other respondents perform records management tasks in addition to their regular
office workload.
The University has no prescribed program and policy in managing its
records. It has yet to design and implement a records system to carry out and support
its records management processes. Because of the absence of a standard program
and policy, units like OSU, UPD-OC and UPLB-RMO have crafted their own
manual and policy for their daily operations. These documents are deemed
necessary in crafting a comprehensive program and policy for UP. Other UP units
have no proper documentation of their procedures, rules, and practices in managing
their records thus relying heavily on their experiences and knowledge about the
records of the office.
On UP’s Records Management Practices and Tools
Majority of the records managed by the subject units are considered vital
records. But in spite of this, effective management of University records is
oftentimes neglected. Directives relating to records management are not observed
and strict compliance is not monitored in all units of the University.
119
It was observed that some units have similar practices in managing its
records, particularly in controlling the creation of records. One evident example is
the use a letter-number code for the issuances of the heads of units. In records
registration, all subject units use logbooks and/or DTS. These systems are also
utilized to track and retrieve records. Two units are now using electronic document
management system (EDMS) which is a step up system compared to logbooks and
DTS.
Only 3 out of the eleven subject units (OSU, UPD-OC, and UPLB-RMO)
have file classification guides in place. Most of the respondents depend on their
listing of record folders or knowledge of the records which they have filed.
Almost all units, except for UPD-OC, expressed their records storage
problems. The steel cabinets, the common records storage facility in all units, are
almost full. Respondents are now using boxes placed on top of their desks/cabinets
to accommodate the fast growing numbers of records. A number of respondents said
that their records storage areas are not only for records but for other office stuff, they
used the term ‘bodega’ to describe their records storage areas. Only the respondent
from UPD-OC said that he has no issues on records storage as it was recently
renovated its office and a spacious records storage area was well-considered. To
resolve their records storage issues, UPLB-OC, UPLB-RMO and UPOU-OC
expressed their plan to renovate and add more records storage areas in their
respective offices.
120
Except for OSU and UPLB-RMO, all other UP units have no established
records loaning system. Photocopies are given, instead of the original records, to
prevent records loss. The well-established UPLB-RMO’s loaning system is clearly
stated in its manual of operations.
Despite the inadequate records storage in UP, it has not transferred any of its
record holdings to NAP or any government agency and has no plan of transferring its
records yet. By practice, most of the units transfer their archival records to their
respective libraries for proper handling. This is done through their self-generated
transfer list form. The scheduled records inventory and appraisal every year, as
prescribed by ISO 15489 and RA 9470, is strictly observed by only three units -
OSU, UPD-OC and UPLB-RMO. Their records are also examined every year to
identify valueless records for disposal and transfer to the library. For other units, this
procedure is conducted only during free-time or as the need arises. Only UPLB-
RMO has an agency records retention and disposition schedule which is according to
NAP’s GRDS. Two other offices, OSU and UPD-OC, are implementing the GRDS
of NAP. Some records personnel are aware of NAP’s GRDS but they have yet to
dispose any record, particularly the young campuses like UPOU, UP Mindanao, UP
Baguio and UP Cebu. Again, these practices are not properly documented and the
units have no clear rules and procedures in conducting such transaction.
It was also revealed that UP has no disaster recovery plan for its records.
Even though the record holdings of the top-level offices are considered vital, the
administration fails to secure the preservation of these records. Procedures on
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preservation and restoration of records are also not available for archival records as
the respondents transfer the responsibility to the librarians. This may also be the
major reason why a number of vital records are lost in UP’s records system like the
highlighted untraceable studies on the records management in UP.
Records management tools are present in almost all subject units except for
UPLB-OC, UPM-OC and UPV-OC. But even with the presence of such tool,
records personnel still fail to consult it for a standard handling of records. Their
personal experience and knowledge on recordkeeping are mostly used in dealing
with records.
UP has yet to develop a training program for its records personnel. Some
records personnel shared that they have not attended training, even the basic ones. It
was proposed that UP should develop a training program for its records personnel,
and to include the administrators and other employees in the program. A training
program coordinator should also be appointed to monitor the administration of the
program in all UP units.
Some units are now managing electronic records. OP and OSU now use
Laserfiche as their EDMS program. Hardware requirement, back-up system and
maintenance are available but the offices are yet to finalize a manual on the
management of electronic records using Laserfiche. There are also discussions on
the possible adoption of Laserfiche into the eUP Project. UPD-OC and UPLB-RMO
use their self-acquired software to manage their electronic records. Among the four
122
offices, UPLB-RMO has the most sophisticated electronic records management
system which is also well-documented.
RA 9470 imposed the constitution of a Records Management Improvement
Committee in all government units but UP has not constituted a standing committee
on the management of its records. Some committee efforts were documented in
1970s to 1980s but none during the current and past administrations. However, UP
Mindanao has constituted a records management team (ad-hoc) in 2014 which will
provide output this July 2015.
On Records Issues Confronted by UP
One clear evidence of the poor state of UP’s current records management is
the existence of records problems. The survey revealed that 6 out of the 10 heads of
units said that they are not satisfied on how the records personnel handle the
University records. They observed that records are sometimes missing or misrouted,
a number of records are difficult to retrieve and access, and the skills of the staff are
inadequate to address the records needs of the office. One chancellor even
highlighted the difficulty of the records personnel in terms of records prioritization
as almost all records are labelled urgent.
Additionally, majority of the records personnel opted to provide neutral
answers when asked about these current records issues. However, some respondents
confirmed that they are experiencing issues on records storage and retrieval,
primarily because ‘old records are not destroyed at the right time’. A number of
123
respondents agreed that the inefficiency of records management and records retrieval
systems are their perceived causes of records issues in their offices.
All the five selected records clients of the University answered that they are
somehow satisfied with UP’s records management but highlighted some records
issues like hostile records managers/staff, absence of a standard practice, poor
records retrieval skills, and provision of inappropriate records. Records clients also
gave recommendations to address the current records issues in the University.
On Standardization of UP Records Management
All the 32 respondents said yes to the standardization of records management
in UP. Only two heads of units said that they are not ready to commit any financial
support to this standardization effort. It was highlighted that the President of the
University is willing to provide financial support, regardless of amount, for this
endeavor.
The study also discussed some minor efforts of the different units of UP to
temporary address the absence of a common records management program in the
University. However, the readiness of the UP stakeholders and the reconciliation of
diverse records management practices are some of the hurdles in the standardization
of records management in the University.
Conclusions
Given the findings listed above, the researcher concludes that there are
indeed problems in the current recordkeeping practices of the University and
124
continuous neglect will put its vital records in peril. The study revealed that UP’s
records management is below the standards prescribed by ISO 15489 and RA 9470,
with only 13% compliance rating. This alarming result shows that in spite of the
findings presented by earlier studies, the University still fails to pursue the proposed
recommendations.
The study also highlighted the practices of the University in the different
records management processes. It is presumed that the University often discount the
importance of its records and its effective management. The absence of a central
records office, standard records management program and tools, training program for
records personnel, and collective and sustainable effort to standardize the
management of UP records are some of the bases for such assumption. The diverse
practices throughout the University is attributed to UP’s inability to document the
established practice. The continued negligence of the expert’s recommendations,
like the reports of the committees that studied the recordkeeping practices in UP, is
also a strong basis. It was even revealed that a number of archival records are lost in
the records system of the University. The problems cited in the 1980s are still
haunting the University up to this present time.
It was also revealed that the compliance with ISO 15489 and RA 9470 is not
a major concern of the University. Submission to these regulations is one best way
to standardize the handling of UP records. It was evident that UP’s records
personnel are unaware about the provisions of the two regulations and the benefits of
125
a sound records management program. These are the main reasons for the high non-
compliance rating of the University with the best practices on records management.
A number of records issues were raised and discussed in the study. It is
recommended to standardize the program, to empower the records personnel, and to
craft common records management tools to resolve the cited issues. These issues
will never be resolved by deferring the identified solutions. The continued
negligence of these issues will jeopardize not only the vital records but the institution
as well. Appropriate approach and action should be undertaken as soon as possible.
A number of efforts to study and regulate some of UP’s records management
processes were highlighted in the study, but the efforts lack pursuance of
recommendations. Strict compliance is also not monitored. Budget wise, with the
commitment of the current administration, the University is ready to spin off its
standardization effort. Although all respondents said that they support UP’s
standardization of records management, some identified hurdles need to be addressed
first. The present capability of the records personnel will surely slow down the
process and the absence of a concrete basis for a standard records management for
UP is also one major hurdle in such endeavor.
Recommendations
As pointed out in the major findings and conclusions of the study, the
researcher recommends the following steps:
126
Document the Records Management Practices
The absence of documentation on the current records management in UP
makes it difficult to initiate the standardization and improvements. Securing and
monitoring of proper documentation of established practices in the University will
enable reconciliation of diverse practices and improvement of the existing practices.
These should be promulgated to all concerned staff and must be monitored for
compliance and appropriate preservation for future use. Preservation of all available
documentations should also be guaranteed by the University.
Establishment of Records System, Program, and Tools, and Monitor Compliance
Another important aspect that UP fails to address is the effort to establish a
standard system, program, and tools. Formalization of records system, and records
management program and tools for use of all records personnel ensures regulation of
the process. Regular review of these must be in place. The tools should be made
accessible to all the staff performing recordkeeping tasks. Records retention and
disposition schedule for UP records should also be a vital part of the records
management tools of the University.
The conduct of an overall review of the business operations and processes,
and record holdings of the University should be a consideration for a comprehensive
records system and records management program. It must also be noted that archival
management must be closely linked with records management. A pilot run may be
considered before the grand implementation to cut down the cost considering the
vast and diverse UP campuses and units. The constitution of a body to audit and
127
monitor UP’s records management must also be considered, as mandated by RA
9470.
The University may opt to identify the office/official who will take the lead
in this endeavor. A team would also be a good option.
Plan for the Establishment of a Central Records Office for UP
As mandated by law, UP should pursue the creation of a central records and
archives unit. Manpower and budgetary commitment from the government should
be included in the proposal. This plan should be intertwined to the establishment of
records system and program.
Review the Current Staffing Pattern and Recruitment Criteria for Records Personnel
The study highlighted the poor staffing pattern of the University which is one
of the main causes of records issues. The records personnel are mainly accountable
for the recordkeeping function in the University. They should be permanent staff
members. Change in records personnel staffing should be planned to avoid
interruption of the process. The establishment of a training program and designation
of a coordinator should be considered.
Provide Appropriate Records Management Facilities
Aside from manpower, facilities are another important aspects in records
management. It was discussed in this study that UP suffers from inadequate records
storage facilities. Given this, proper records storage areas should be addressed as
soon as possible to preserve the integrity of records. It is ideal to have a common
record center for all in-active records of all UP units. While the plan for additional
128
records storage facilities is in the pipeline, the University should conduct a
comprehensive review of its record holdings to identify records for retention and
disposal/transfer. It would be helpful for every records personnel to be acquainted
with NAP’s GRDS. The University should also work towards the creation of its
agency records retention and disposition schedule.
Specialization of Future Studies on UP Records Management
This study provided a holistic assessment of the records management in UP.
However, this study is limited only to administrative records and respondents were
from top-level offices. Further studies focusing on each campus, records
management process, and record type would greatly help UP in building the
necessary documentation it will need to initiate the standardization effort.
UP’s has accumulated voluminous vital records over the years. These
records embody the memories of UP. Since 1970s, the earliest available
documentation on UP’s records management, it has been an issue on how UP can
effectively manage its numerous records. But until now, a comprehensive effort is
still in vain.
The University should not disregard the poor state of its records management
as the continuous existence and leadership of UP as the only national university in
the Philippines would only be secured through the help of an effective program for
its records. UP must move forward and at the same time ensure the preservation of
its identity.
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP System Date:Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470. For detailed desciption, please refer to per unit self-audit sheet.Legend: C - Compliant, P - Partial compliance, N - non-compliant
1Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470) N P P N P N N N N N N 0% 27% 73%
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
N P P N Y N N P N N P 9% 36% 55%
3Has an official records and archives office / unit approved by NAP and DBM P Y P P Y N N N N N N 18% 27% 55%
4 Appointed qualified records officer/records custodian and archivist N Y P N Y N N N N N N 18% 9% 73%
5 Constituted a Records Management Improvement Committee N N N N N N N N P N N 0% 9% 91%
6 Established a comprehensive records management program N P P N P N N N N N N 0% 27% 73%
7
Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
N P P N P N N N N N N 0% 27% 73%
8 Has manuals of instructions/operations on records management P P P N Y N N N N N N 9% 27% 64%
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasked related to management of records
N P P N Y N N N N N N 9% 18% 73%
10Designed and implemented a records system to carry out and support the records management processes of the institution N N N N N N N N N N N 0% 0% 100%
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
N P P N Y P P P P P P 9% 73% 18%
UPLB RMO UPM UPV UPOU
University of the Philippines
Average Partial Compliance
Average Non-Compliance
Average Compliance
01-May-15
Self-Audit Tool for Records Management
UP Min UPB UP
CebuBest practices in records management OP OSU UPD UPLB
Appendix I-A
UPLB RMO UPM UPV UPOU Average
Partial Compliance
Average Non-Compliance
Average Compliance
UP Min UPB UP
CebuBest practices in records management OP OSU UPD UPLB
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer P P P N P Y P P N P N 9% 64% 27%
13Use of logbook or equivalent to record all official records in chronological order Y Y Y Y Y Y Y Y Y Y Y 100% 0% 0%
14 Established control system in records creation P N P P P P P P P P P 0% 91% 9%
15Use of retention and classification codes as soon as the records is created / captured N N P N P N N P N N N 0% 27% 73%
16 Established standard in registration of records P N P P Y P P P P P P 9% 82% 9%
17 Has prescribed file classification system for uniform filing system P Y P N Y N N P N P P 18% 45% 36%
18Has adequate records storage integrated with the overall records management program N N Y N N N N N N N N 9% 0% 91%
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth N N P N N N N N N N No 0% 9% 82%
20Has storage for non-current record integrated with the overall records management program P Y Y Y Y Y Y Y Y P P 73% 27% 0%
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP N N P N P N N N P N N 0% 27% 73%
22Has set standards and criteria to maximize filing equipment and floor space N N P No P N N N N N N 0% 18% 73%
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records P Y P Y Y Y P P P P P 36% 64% 0%
24 Provided rules on how to handle confidential files N N P N P N N N N N N 0% 18% 82%
25Has established finding aids in retrieving and accessing records P Y P P Y P N P P P P 18% 73% 9%
26 Has tracking system for active records P Y P P Y P P P P P P 18% 82% 0%
27 Has an established records loaning system N Y P N Y N N N P N N 18% 18% 64%
28 Has rules in the proper turnover of records to successor/NAP N N N N N N N N N N N 0% 0% 100%
29Has an established guidelines on records transfer compliant with NAP rules N N N N Y N N N N N N 9% 0% 91%
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UPLB RMO UPM UPV UPOU Average
Partial Compliance
Average Non-Compliance
Average Compliance
UP Min UPB UP
CebuBest practices in records management OP OSU UPD UPLB
30 Developed clear rules in transferring records to archives N P P N Y N N N N N N 9% 18% 73%
31Separation of records for disposal from those for further retention as suggested by NAP N N N N N N N N N N N 0% 0% 100%
32Compliant with the General Records Disposition Schedule (GRDS) of NAP N Y Y N Y N N N N N N 27% 0% 73%
33Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS N N P N Y N N N N N N 9% 9% 82%
34 Use of retention code (RDS/GRDS) before the records are filed N N N N Y N N N N N N 9% 0% 91%
35 Has a disaster recovery plan for records N N N N N N N N N N N 0% 0% 100%
36Has an approved records inventory and appraisal schedule, at least once a year, with full public accessibility N Y Y N Y N N N N N N 27% 0% 73%
37Conduct periodic examination of records at least once a year to identify valueless records for disposal N N Y N Y N N N N N P 18% 9% 73%
38Has records preservation and restoration procedures as consulted with NAP N N P N N N N N N N N 0% 9% 91%
39Has recently performed a self-audit / review of records management practices N N N N N N N N N N N 0% 0% 100%
40 Has preservation program for archival records N N N N N N N N N N N 0% 0% 100%41 Has an established system in managing electronic records P P P N P N N N N N N 0% 36% 64%42 Has adequate digital storage for electronic records Y Y Y N Y N N P N N N 36% 9% 55%43 Has necessary back-up systems for electronic records P P P N Y N N N N N N 9% 27% 64%44
Records management training is included in the organisation’s Education, Training & Development Plan P P P N P N N P P P N 0% 64% 36%
45 Has recently sent records personnel to a training Y Y Y N Y N N Y Y Y N 64% 0% 36%46
There is provision for the regular review of training needs of personnel in-charge of records N N N N N N N N N N N 0% 0% 100%
Overall rating: 13% 24% 63%Note: Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance.
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Office of the President Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related torecords management (e.g. ISO 15489, RA 9470) No
The records personnel is familiar with ISO 15489 and RA 9470. She has plans to comply with said regulations.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
No
Though the records personnel has a copy of NAP GRDS, she admitted that she barely consult the guide. She has a general listing of all folders in their steel cabinets, as it is also available in the EDMS program of the office. The office also has a draft manual on the use of EDMS program.
3 Has an official records and archives office / unitapproved by NAP and DBM Partial
OSU manages the AOs/Memos/EOs issued by the President. But these are not the only records that OP creates and maintains. Because of this set-up, OP decided to capture all records requirement of the office for efficiency. All archival records are transferred to the library.
It is suggested that the mandates of OSU Records Unit be reviewed. The creation a records office/center for UP System Administration (UPSA), and evetually for the entire University, should be the the ultimate goal.
4 Appointed qualified records officer and archivist No Records management is an additional task of the staff.
5 Constituted a Records Management ImprovementCommittee No
Has not constituted a standing committee for the improvement of its records management. There weread hoc committees constituted in 1970s.
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
6 Established a comprehensive recordsmanagement program No Has no established records management program.
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
No Has no records management policy.
8 Has manuals of instructions/operations on records management Partial
In 2000, the senior executive assistant made a compilation of guides on how to manage the records in OP. This was documented but was not formalized for approval. The guides need to be revisited.There were also draft guide made for the management of electronic records since the office started its EDMS program in 2012.
Needs compilation and formalization of these guides into a manual of records management function in OP.
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
No Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.
10Designed and implemented a records system to carry out and support the records management processes of the institution
No Has not designed and implemented a records system.This should be a collective effort of all UP units.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
NoRecords capture process is not documented. The process depends on the practice of the records personnel.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
PartialOP has a staff in-charge of receiving and releasing of records. The OP staff in-charge of records supervises the receiving and releasing of records. But for UPSA, OSU is the central receiving/releasing unit.
Documenting this practice assures continuity amidst change in administration or change in work force.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes The OP staff in-charge of the receiving/releasing area
maintains a logbook for all records of OP. OP also uses UP DTS and EDMS (Laserfiche) in records capture and registration.
14 Established control system in records creation Partial
There is an established system but some areas need tobe documented. All issuances of the President are controlled through the use of letter-number codes listed in labelled folders. These folders are compiled every year. The senior executive assistant, Special Assistant to the President and the President review alloutgoing communications prior to release.Aside from this code, the administration has issued AOs to standardize the format of all UP communications.
Review and document the process.
15 Use of retention and classification codes as soonas the records is created / captured No
OP is not keen in observing the retention and disposition schedule as its records are mostly convenience files and are just scanned copy of the original. The original records are released to OSU.
16 Established standard in registration of records PartialThe logbook system of the office captures the following elements: subject/short description, sender, and date of receipt. The UP DTS and EDMS also provide template for capturing metadata of the records.
The records registration system is not documented. Only created/captured vital records are assigned with metadata upon registration for easy retrieval. Not all records are also entered to the UP DTS/EDMS. Establishing the system will standardize the process.
17 Has prescribed file classification system foruniform filing system Partial
In 2000, the senior executive assistant made a classification scheme for OP records. This has been the manner of classifying and filing of OP records.
Review and document the process.
18 Has adequate records storage integrated with theoverall records management program No Since the UPSA has a records unit (OSU), many
UPSA offices have no allocated space for records storage. Steel cabinets and shelves are placed in
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integrated with the overall records management program Partial
Steel cabinets, boxes, and shelves are the common storage facilities for non-current records. OP has no dedicated recods storage area/room. The records storage facilities are located in available spaces.
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
No
22 Has set standards and criteria to maximize filingequipment and floor space No Has no standard/criteria to maximize filing
equipment and floor space.23
Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
Partial Because of the peculiar storage area, this makes therecords safe from any unauthorised access. Needs proper documentation.
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the President. This should be documented.
25 Has established finding aids in retrieving andaccessing records Partial Needs proper documentation.
26 Has tracking system for active records PartialA follow-up system must be integrated in the program. OP has problems in tracking active records, those referred to other offices, as it lose track of these records. Needs proper documentation.
storage. Steel cabinets and shelves are placed in available spaces, sometimes in awkward areas. To address the scanty records storage area of the office, OP started its digitization program in 2012 through the use of the Laserfiche program.
Most paper records are being converted to electronic records since 2012 to address the existing records storage problem.
Most paper records are converted to electronic records. EDMS/Laserfiche is used to efficiently find and track records.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
27 Has an established records loaning system NoMany offices are aware of the EDMS program of OP.Hence, most of UP units request copies of records to be sent via email. OP should establish rules on sharing of electronic records to safeguard the records as well as the records personnel of OP.
28 Has rules in the proper turnover of records tosuccessor/NAP No Has no established rule.
29 Has an established guidelines on records transfercompliant with NAP rules No
30 Developed clear rules in transferring records toarchives No
31 Separation of records for disposal from those forfurther retention as suggested by NAP No Has no established practice.
32 Compliant with the General Records DispositionSchedule (GRDS) of NAP No
33Uses an approved Retention Disposition Schedule(RDS) by NAP, listing all records which are not found in the GRDS
No
34 Use of retention code (RDS/GRDS) before therecords are filed No Not being practiced.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.36 Has an approved records inventory and appraisal
schedule, at least once a year No OP's last comprehensive records review was in 2000.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
NoWhen storage is almost full or during free time, the records personnel examines the records to identify valueless records.
38 Has records preservation and restorationprocedures as consulted with NAP No The office has no program for this.
39 Has recently performed a self-audit / review ofrecords management practices No Has no records management audit plan.
By practice, non-active and archival records are transferred to the University Archives and Records Depository (UARD), UP Main Library. The office uses its own version of transfer list form. There is no clear schedule and guide on OP's records transfer.
Though the records personnel has a copy of NAP GRDS, she admitted that she barely consult the guide. RDS is not a concern for OP records personnelas its records are mostly convenience files.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks40 Has preservation program for archival records No The office has no program for this.
41 Has an established system in managing electronicrecords Partial
Documenting this effort will assure continuity amidst change in administration or change in work force. It would be helpful if OP could have a manual for managing its electronic records.
42 Has adequate digital storage for electronic records Yes
43 Has necessary back-up systems for electronicrecords Partial
OP has three external hard disks. The office has plan to perform back-up from Laserfiche to capture the folders, sub-folders and metadata of each record in the EDMS. This is a pending request to eUP Team.
44Records management training is included in the organisation’s Education, Training & Development Plan
Partial
45 Has recently sent records personnel to a training Yes46 There is provision for the regular review of
training needs of the personnel NoFindings:
Yes 3 7%No 30 65%
Partial 13 28%
Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.
Notes: - Records managers may opt to focus on items withpartial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain thefindings of the audit.
Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.
OP records are now almost 80% electronic. The electronic records are managed through the Laserfiche Program.
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visit
Date:1 May 2015Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related torecords management (e.g. ISO 15489, RA 9470) Partial
The records personnel is familiar with ISO 15489 and RA 9470. OSU's draft manual of operation is in accordance with some of the provisions of RA 9470.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
PartialOSU has a file classification scheme/guide and RDS which is according to NAP GRDS. This is included in the draft manual of operations, awaiting the approval of the President.
3 Has an official records and archives office / unitapproved by NAP and DBM Yes
The creation of OSU was mandated by the law (RA9500) and needs no further approval of NAP and DBM.
OSU is mandated to manage specific records only - records on Board of Regents (BOR) decisions and issuances of the UP President. Making it a full-pledge records center/office is one good approach.
4 Appointed qualified records officer and archivist Yes OSU has appointed a qualified records officer.
5 Constituted a Records Management ImprovementCommittee No
Has not constituted a standing committee for the improvement of its records management. There weread hoc committees constituted in 1970s.
6 Established a comprehensive recordsmanagement program Partial
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
Unit :Office of the Secretary of the University and of the Board of Regents (OSU)
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
Partial
8 Has manuals of instructions/operations on records management Partial
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
Partial The draft manual of operations lists only theresponsibilities of the records personnel.
A comprehensive documentation of the responsibilities of each of the staff in OSU is required.
10Designed and implemented a records system to carry out and support the records management processes of the institution
No Has not designed and implemented a records system.This should be a collective effort of all UP units.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
Partial The draft manual of operations briefly describes the different processes on records management in OSU. A comprehensive guide must be crafted.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
Partial
OSU has a receiving/releasing unit. It receives and releases all communications coming in and out of the Office of the President (OP) and those addressed to the BOR. It has pigeon hole shelving units to systematize this function. It is supervised by the executive assistant of OSU. The records officer is not directly involved in the function of this unit.
This section of OSU must be reviewed to comply with the provisions of ISO and RA.
The manual of operations must be finalized and approved by the President.
OSU has a draft manual of operations which details the records management procedures of the office.
144
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes OSU maintains a logbook for all its records. OSU also uses UP DTS in records capture and
registration.
14 Established control system in records creation No Needs proper documentation. This is yet to be covered by the draft manual of operations.
15 Use of retention and classification codes as soonas the records is created / captured No
OSU is not keen in observing the retention and disposition schedule as most of its records are vital records. According to the records officer, 90% of their collection are vital records.
16 Established standard in registration of records PartialThe logbook system of the office captures the following elements: subject/short description, sender, and date of receipt. The UP DTS also provides template for capturing metadata of the record.
Needs proper documentation. This is yet covered by the draft manual of operations.
17 Has prescribed file classification system foruniform filing system Yes
OSU uses a File Classification Guide. It also assigns cross-references and sub-heading to records for easy retrieval.
18 Has adequate records storage integrated with theoverall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integratedwith the overall records management program Yes The office has a records storage room for non-current
records.It was observed that the records storage also serves as storage forr other office stuff like clothes, office supplies, etc. In order to assure records preservation,records must be kept in appropriate storage area.
OSU has limited records storage area at present. Steel cabinets, shelves and boxes the common records storage facilities in the office. To address the scanty records storage area of the office, OSU started its digitization project called eOSU.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
NoArchival records are transferred to the University Archives and Records Depository (UARD), UP Main Library. The office has not transferred any record to NAP or other government agency.
22 Has set standards and criteria to maximize filingequipment and floor space No Has no standard/criteria to maximize filing
equipment and floor space.
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
YesRecords storage facilities are startegically located to prevent unauthorised access. Records storage room is locked and can only be accessed by the records personnel of the office.
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the President or the BOR. This should be documented.
25 Has established finding aids in retrieving andaccessing records Yes
OSU has index cards, electronic master file of records with location, and EDMS/Laserfiche to find and access records.
These are not described in the manual of operations. These should be included in the manual.
26 Has tracking system for active records Yes The office uses the UP DTS and logbook to trackactive records.
A follow-up system (reminder) must be integrated in the UP DTS to avoid losing track of the records referred to other offices.
27 Has an established records loaning system Yes
OSU already digitized the UP Gazette and uploaded in their website. Records which are not found in the website can be requested upon submission of a letter-request. OSU provides copy of the records with stamp as proof that it was officially released by the office.
28 Has rules in the proper turnover of records tosuccessor/NAP No Has no established rule.
29 Has an established guidelines on records transfercompliant with NAP rules No
By practice, non-active and archival records are
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
30 Developed clear rules in transferring records toarchives Partial
Records aging 10 years up are considered ready to be transferred to the UP Main Library. The records for transfer are placed in a box with proper label. A transfer list form is prepared as evidence of the transaction.
31 Separation of records for disposal from those forfurther retention as suggested by NAP No
Has no established practice. Almost all records of the office are considered vital records, hence disposition is not practiced.
32 Compliant with the General Records DispositionSchedule (GRDS) of NAP Yes NAP GRDS is used to the remaining 10% of OSU
records.33
Uses an approved Retention Disposition Schedule(RDS) by NAP, listing all records which are not found in the GRDS
No
34 Use of retention code (RDS/GRDS) before therecords are filed No
Not being practiced. Almost all records of the office are considered vital records, hence disposition is not practiced.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.36 Has an approved records inventory and appraisal
schedule, at least once a year Yes OSU conducts inventory of records every year.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
NoAlmost all records of the office are considered vital records, hence disposition is not practiced. Records are inventoried to identify records that are ready for transfer. Records for transfer are digitized first to keep a copy in the EDMS/Laserfiche.
38 Has records preservation and restorationprocedures as consulted with NAP No The office has no program for this.
39 Has recently performed a self-audit / review ofrecords management practices No Has no records management audit plan.
40 Has preservation program for archival records No The office has no program for this.
By practice, non-active and archival records aretransferred to University Archives and Records Depository (UARD), UP Main Library. The office uses its own version of transfer list form.
RDS is not a major concern of the office as most of its records are vital records.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
41 Has an established system in managing electronicrecords Partial Needs proper documentation.
42 Has adequate digital storage for electronicrecords Yes
Documenting this effort will assure continuity amidst change in administration or change in work force. It is recommended to craft a manual for managing its electronic records.
43 Has necessary back-up systems for electronicrecords Partial
OSU has one external hard disk as back-up system. The office should have at least three back-up units. The office plans to purchase additional external hard disk.
44Records management training is included in the organisation’s Education, Training & Development Plan
Partial
45 Has recently sent records personnel to a training Yes
46 There is provision for the regular review oftraining needs of the personnel NoFindings:
Yes 13 28%No 20 43%
Partial 13 28%
Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.
Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.
Notes: - Records managers may opt to focus on items withpartial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain thefindings of the audit.
OSU records are now 50% electronic. The electronic records are managed through the Laserfiche Program. The project is called eOSU which is the priority project of the current Secretary of the University.
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Diliman Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related torecords management (e.g. ISO 15489, RA 9470) Partial
UPD-OC acknowledges the following legislations: RA 9470, NAP General Circular No. 1, NAP General Circular No. 2, and RA 6713.
It is recommended for UPD-OC to consider international standard as it ensure a comprehensive and globally accepted records management program.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
Partial
The records officer uses the following tools: records management manuals, RDS, accession authorization, file classification guide, index, records inventory, vocabulary control, documentation on records destruction, vital records inventory, and documentation on in-house digitization program.
According to the records officer, many of the tools are still in the draft stage. The approval of these tools will further strengthen their plan of formalizing their records management program.
3 Has an official records and archives office / unitapproved by NAP and DBM Partial UPD-OC operates a records unit. This unit serves as
the main records unit in UP Diliman. An organic records unit, which is approved by NAP and DBM, will streamline its operations.
4 Appointed qualified records officer and archivist PartialThe records officer is not holding a records officer plantilla item, though his job description is mainly on records management.
Creation of records officer plantilla item/s may be requested from DBM upon approval of UP records office.
5 Constituted a Records Management ImprovementCommittee No
Has not constituted a standing committee for the improvement of its records management. There weread hoc committees constituted in 1970s.
6 Established a comprehensive recordsmanagement program Partial
UPD-OC has an established program which needs further review to capture all aspects of its records management practices.
Needs review and formalization.
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Best practices in records management Evidence Remarks
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
Partial Has a draft policy. Needs approval.
8 Has manuals of instructions/operations on records management Partial UPD-OC has a draft policy which needs to be
translated into a manual. Needs formalization.
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
PartialUPD-OC has a documentation of responsibilities of each records personnel and other OC staff which is part of the draft records management policy.
Needs formalization and promulgation.
10Designed and implemented a records system to carry out and support the records management processes of the institution
NoDesigning and implementation of records system must be a collective effort of all UPD units. An efficient records system must include all business processes of the campus.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
Partial The general records capture process is part of the policy. The office uses DTS to capture records.
The process must be elaborated. This should be included in the records management policy and manual of operation of the unit.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
PartialUPD-OC serves as the main receiving and releasing unit in UP Diliman. The records officer is not directly involved in the operation of this unit.
The records officer should supervise this function. This should be reviewed and should be documented comprehensively for any future development.
13 Use of logbook or equivalent to record all official records in chronological order Yes
The UPD-OC staff who is in-charge of the receiving/releasing area maintains a DTS which is more efficient than the logbook system.
UPD-OC also uses an in-house DTS and other computer-aided system in records registration.
14 Established control system in records creation Partial
There is a established system but some areas need to be documented. All issuances of the Chancellor are controlled through the use of letter-number codes and policy on formats. The executive assistants and the Chancellor review all outgoing communications prior to release.
Needs review and inclusion in the records management policy and manual of operation of the unit.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
15 Use of retention and classification codes as soonas the records is created / captured Partial The records officer adds notes to records upon
capture. This is not documented.Needs documentation and inclusion in the records management policy and manual of operation of the unit to standardize the process.
16 Established standard in registration of records PartialThe office uses logbooks, DTS and other computer-aided system in records registration. This must be formally documented.
Needs formal documentation and for inclusion in therecords management policy and manual of operation of the unit.
17 Has prescribed file classification system foruniform filing system Partial
UPD-OC has a guide in filing records. This needs to be converted into a comprehensive filing manual for all records of the office.
Needs crafting of a comprehensive filing manual. Vocabulary controls, index and shorthand codes should be part of this comprehensive manual.
18 Has adequate records storage integrated with theoverall records management program Yes With the newly renovated office of UPD-OC, records
storage was given enough space.
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
Partial According to the records officer, they are only 60% ready.
RDS must be strictly implemented to ensure adequaterecords storage.
20 Has storage for non-current record integrated with the overall records management program Yes
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
Partial Needs documentation and formalization.
22 Has set standards and criteria to maximize filingequipment and floor space Partial UPD-OC has a draft standard and plan in maximizing
its filing equipment and floor space.Needs review and formalization for inclusion in the records management policy and manual of operation of the unit.
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
Partial The storage areas are strategically located in safe place.
Guidelines in records access and safeguard should be crafted and formalized. For inclusion in the records management policy and manual of operation of the unit.
24 Provided rules on how to handle confidential files PartialThe executive assistant and the Chancellor give the authority to release a confidential records as mentioned in the draft records management policy of the unit.
To protect the records and the UPD-OC, the rule in handling confidential records must be established (part of the guidelines in records access and safeguard).
25 Has established finding aids in retrieving andaccessing records Partial
With the newly renovated office of UPD-OC, records storage was given enough space.
The in-house DTS program of UPD-OC serves as the most efficient way in finding a record. The software needs upgrading to add more features.
Needs review, upgrading and formal documentation. These practices must be included in the records management policy and manual of operation of the
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
26 Has tracking system for active records Partial
27 Has an established records loaning system PartialThe office requires borrower's slip and receipt slips, as well as letter-request for the Chancellor's approval. No detailed documentation is available.
Needs formal documentation and inclusion in the records management policy and manual of operation of the unit.
28 Has rules in the proper turnover of records to successor/NAP No
29 Has an established guidelines on records transfer compliant with NAP rules No
30 Developed clear rules in transferring records to archives Partial Has a guideline but needs formalization. The office
uses its own version of a transfer list form.
Needs formal documentation and inclusion in the records management policy and manual of operation of the unit. Archival records are transferred to the University Archives and Records Depository (UARD), UP Main Library.
31 Separation of records for disposal from those for further retention as suggested by NAP No Has no established practice.
32 Compliant with the General Records Disposition Schedule (GRDS) of NAP Yes The crafted RDS of UPD-OC is compliant with NAP
GRDS.
33Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS
Partial Has an RDS developed by the records officer. But still needs approval of the Chancellor and NAP.
Needs formalization and approval of the Chancellor and NAP. Also for inclusion in the records management policy and manual of operations of the unit.
34 Use of retention code (RDS/GRDS) before the records are filed No Not being practiced.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.
36 Has an approved records inventory and appraisal schedule, at least once a year Yes
The records officer is conducting inventory and appraisal every year. This is the practice but needs approval to institutionalize.
Document the process and secure approval of the Chancellor. The inventory and appraisal must also be submitted to NAP. This is for inclusion in the records management policy and manual of operation of the unit.
Has no established rule. Archival records are transferred to the University Archives and Records Depository (UARD), UP Main Library.
Inventory of records, computer-aided program and compiled guides are also used by the office.
management policy and manual of operation of the unit.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
Yes The records officer conduct a periodic examinationof records every year.
Must be included in the records management policy and manual of operations.
38 Has records preservation and restorationprocedures as consulted with NAP Partial Has policies and procedures but did not consult NAP. Needs review of the pratice and documentation.
39 Has recently performed a self-audit / review ofrecords management practices No Has no records management audit plan.
40 Has preservation program for archival records NoHas no program for this. The records unit of UPD-OC perform some archival task. The records officer should consult an archives officers to draft a program for the office.
41 Has an established system in managing electronicrecords Partial
42 Has adequate digital storage for electronic records Yes43 Has necessary back-up systems for electronic
records Partial
44Records management training is included in the organisation’s Education, Training & Development Plan
Partial
45 Has recently sent records personnel to a training Yes
46 There is provision for the regular review oftraining needs of personnel in-charge of records NoFindings:
Yes 8 17%No 10 22%
Partial 28 61%
Notes: - Records managers may opt to focus on items withpartial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain thefindings of the audit.
Needs further development and formal documentation. For inclusion in the comprehensive records management program of UPD-OC.
Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.
Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.
UPD-OC has already developed a system for its electronic records.
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Los Banos Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470) No The records personnel is not familiar with any
legislation on records management.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
NoAlmost all practices of the office are not documented. The records management is dependent on the pratice of the AO and the records personnel.
3 Has an official records and archives office / unit approved by NAP and DBM Partial
UPLB has a records office (RMO) but it fails to serve as the central records office of the campus. As shared by UPLB-RMO, many offices fail to give them copies of their vital records, particularly the Office of the Chancellor which is the heart of all operations in the campus.
4 Appointed qualified records officer and archivist No Records management is an additional task to the staff of the office.
5 Constituted a Records Management Improvement Committee No
Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.
6 Established a comprehensive records management program No Has no established records management program.
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
No Has no records management policy.
8 Has manuals of instructions/operations on records management No Has no compiled manual of instructions/operations.
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
No Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.
10Designed and implemented a records system to carry out and support the records management processes of the institution
NoDesigning and implementation of records system must be a collective effort of all UPLB units. An efficient records system must include all business processes of the campus.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
PartialUPLB has an in-house DTS which is used to capture, register and track (with barcodes) the records of all incoming and outgoing communications of UPLB.
This is just a basic system which do not address the complexity of the records that the office manages. Aside from this, UPLB-OC also uses the UP DTS for records coming from and going to the UP System. UPLB OC is using two different DTS in managing itsrecords.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
Partial This should be the function of UPLB-RMO which is not maximized by the campus. Needs review.
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes
The records personnel maintains two DTS, one for UPLB records, the other one is for records going to and coming from UP Systsem.
The use of these systems should be documented. It is ideal to have only one DTS in place.
14 Established control system in records creation PartialAll memos, AOs and outgoing issuances of the Chancellor are controlled through letter/number codes. This control codes are listed in logbooks. These issuances are reviewed by the AO and the Chancellor prior to release.
This system must be properly documented.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
15 Use of retention and classification codes as soon as the records is created / captured No
Records for filing are compiled on the side table of the records personnel for filing within the day. No codes or notes is assigned to the records upon receipt or filing.
16 Established standard in registration of records PartialThe records personnel maintains two DTS, one for UPLB records, the other one is for records going to and coming from UP System.
The use of these systems should be documented. It is ideal to have only one DTS in palce.
17 Has prescribed file classification system for uniform filing system No
Classification system is not documented. Thus, the old practice is maintained or developed by the current records personnel. Drastic change cannot be implemented due to lack of supporting documents.
18 Has adequate records storage integrated with the overall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integrated with the overall records management program Yes
Non-active records are filed in the storage room which is also almost full. Records retention and disposition must be strictly observed to address this issue.
As per records personnel, their storage room is soon to be renovated. The new storage room will be located near the office.
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
NoThe storage room cannot be considered as mini-archives. UPLB-OC has not planned any transfer of non-active records to NAP or any agency. If ever UPLB-OC should transfer any record, it should be closely coordinated with the RMO.
22 Has set standards and criteria to maximize filing equipment and floor space No Has no standard/criteria to maximize filing
equipment and floor space.
Active records are filed in the steel cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
YesSteel cabinets, boxes and the storage area are not accessible to any non-UPLB-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel has access to these facilities.
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the Chancellor. To protect the records and the UPLB-OC, rule in handling confidential records must be in place.
25 Has established finding aids in retrieving andaccessing records Partial
26 Has tracking system for active records Partial
27 Has an established records loaning system NoThe records personnel shared that most of the units call her to request for records. As a practice, she provide the requestor a photocopy of the record to avoid record loss. Establishment of a loaning system will prevent lost records, and to save on papers, too.
28 Has rules in the proper turnover of records tosuccessor/NAP No No established rules.
29 Has an established guidelines on records transfercompliant with NAP rules No
30 Developed clear rules in transferring records toarchives No
By practice, non-record materials, like publications, magazines, etc., are sent to the library or RMO.Due to lack of time, records personnel barely review the records for possible disposition.
The DTS is the most efficient finding aid of the office. If not found in the DTS, the records personnel rely on her knowledge of the files. Alternative finding aids should be devised.
The records personnel also shared that records from earlier years to 1998 are difficult to manage. There were no system used by the office during that time, negatively affecting the current management of records. Needs documentation.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
31 Separation of records for disposal from those for further retention as suggested by NAP No As shared by the records personnel, they are not
disposing any record yet.
32 Compliant with the General Records Disposition Schedule (GRDS) of NAP No
33Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS
No
34 Use of retention code (RDS/GRDS) before the records are filed No Retention codes are not identified before filing.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.
36 Has an approved records inventory and appraisal schedule, at least once a year No
The office has not done any records ineventory and appraisal. This pratice should be initiated by the RMO.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
No Due to lack of time, records personnel barely review the records for possible disposition.
38 Has records preservation and restoration procedures as consulted with NAP No The office has no program for this.
39 Has recently performed a self-audit / review of records management practices No Has no records management audit plan.
40 Has preservation program for archival records No Has no program for this.41 Has an established system in managing electronic
records No42 Has adequate digital storage for electronic records No43 Has necessary back-up systems for electronic
records No
44Records management training is included in the organisation’s Education, Training & Development Plan
No The records personnel shared that she is yet to attend any records management training, even basic records management trainings.
The records personnel conduct disposition upon instruction of the administrative officer. This practice is solely dependent on the knowledge of the personnel about the records.
With the implementation of eUP, the office is now starting to learn on and work with electronic records.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
45 Has recently sent records personnel to a training No
46 There is provision for the regular review oftraining needs of personnel in-charge of records No
Findings:Yes 3 7%No 36 78%
Partial 7 15%
management trainings.Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.Notes: - Records managers may opt to focus on items withpartial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain thefindings of the audit.
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Los Banos RMO Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470) Partial UPLB RMO acknowledges RA 9470 in its records
management.Consideration of international standards can ensure a comprehensive and globally accepted records management program.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
Yes
The records officer uses the following tools: records classification scheme, index, records inventory and appraisal, GRDS, agency's RDS, retention codes, file classification guide, requisition and charge-out procedures, records management manual, and number/code allocation.
3 Has an official records and archives office / unit approved by NAP and DBM Yes UPLB has an established records office called
Records Management Office.
The office fails to fullfil its mandates because many office don't include them in the loop in managing their records. As shared by the records officer, many offices fail to give them copies of their vital records, particularly the Office of the Chancellor which is the heart of all operations in the campus.
4 Appointed qualified records officer and archivist Yes UPLB RMO has an appointed records officer. Most of its staff are holding records officer positions.
5 Constituted a Records Management Improvement Committee No
Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
6 Established a comprehensive recordsmanagement program Partial
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
Partial
8 Has manuals of instructions/operations on records management Yes
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
YesThe responsibilities of each records personnel in UPLB RMO are documented in the office's Manual of Operations and Procedures.
10Designed and implemented a records system to carry out and support the records management processes of the institution
NoDesigning and implementation of records system must be a collective effort of all UPLB units. An efficient records system must include all business processes of the campus.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
YesThrough the use of an Automated Document Management System (ADMS), the office is able to include records properties and descriptions upon capture.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
Partial
UPLB RMO should be the central receiving and releasing unit of the campus. But UPLB-OC has its own receiving/releasing office. According to UPLB RMO, not all UPLB units receive and release their records through them. They provide messengerial services for records coursed through them. Their mailing services require availing units to fund operations, this service is not part of RMO budget.
Needs review of this function.
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes UPLB RMO uses logbooks, ADMS and computer-
aided system to register records.
UPLB has no comprehensive records management program, but UPLB RMO has an approved manual ofoperations (2004) which can be a good starting point for the crafting of a records management program for the entire campus.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
14 Established control system in records creation PartialThis function should be closely coordinated with all units of UPLB, especially the Office of the Chancellor.
Needs review and formalization, for inclusion in the records management manual.
15 Use of retention and classification codes as soonas the records is created / captured Partial The records officer adds notes to records upon
capture. This is not documented.Needs documentation and for inclusion in the records management manual.
16 Established standard in registration of records YesUPLB RMO uses logbooks, ADMS and computer-aided system to register records. This is included in the manual.
17 Has prescribed file classification system foruniform filing system Yes
UPLB RMO has a well-estabslihed filing guide / classification system which is reflected in the records management manual.
18 Has adequate records storage integrated with theoverall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integrated with the overall records management program Yes
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
Partial No plans yet of transferring records to NAP or any government agency.
22 Has set standards and criteria to maximize filingequipment and floor space Partial Having 4 records areas, UPLB RMO has already
acquired standards in maximizing filing space.Needs review and documentation for inclusion in the records management manual.
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
Yes The storage areas are strategically located in a safe places.
Records access of non-staff members are detailed in the manual.
24 Provided rules on how to handle confidential files Partial The Records Officer gives the authority to release a confidential record.
To protect the records and the UPLB RMO, the rule in handling confidential records must be in place and for inclusion in the records management manual.
25 Has established finding aids in retrieving andaccessing records Yes
The records personnel admitted that their records storage is now limited. They currently have four records areas. They have a pending request for another records area to address the issue.
UPLB RMO manages almost all types of records in the campus (administrative, academic, human resources). Non-active/archival records of these types are managed in their records areas.
UPLB RMO uses the following finding/tracking aids: index cards, inventory of records, compiled guides, ADMS, and knowledge of the files. These are all
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
26 Has tracking system for active records Yes
27 Has an established records loaning system YesThe unit uses borrower's slip in loaning a records. The maximum period set for loaned records is 1 day. This is detailed in the manual, procedures are also clearly stated.
28 Has rules in the proper turnover of records tosuccessor/NAP No Has no established rule.
29 Has an established guidelines on records transfercompliant with NAP rules Yes
30 Developed clear rules in transferring records toarchives Yes Needs formal documentation and for inclusion in the
manual. 31 Separation of records for disposal from those for
further retention as suggested by NAP No Has no established practice.32 Compliant with the General Records Disposition
Schedule (GRDS) of NAP Yes The RRDS of UPLB is compliant with NAP GRDS.
33Uses an approved Retention Disposition Schedule(RDS) by NAP, listing all records which are not found in the GRDS
Yes Has an RRDS developed by the unit and with approval of the Chancellor.
34 Use of retention code (RDS/GRDS) before therecords are filed Yes Before filing, UPLB-RMO assign not only RDS to
the records but also cross-references and indexes.35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.36 Has an approved records inventory and appraisal
schedule, at least once a year Yes The records officer is conducting inventory and appraisal every year.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
Yes The records officer conduct a periodic examination of records every year.
38 Has records preservation and restorationprocedures as consulted with NAP No Has no established procedure.
ADMS, and knowledge of the files. These are alldetailed in the manual, procedures are also clearly stated.
Transfers are conducted from the main UPLB-RMO office to one of its records centers. This is detailed inthe manual, procedures are also clearly stated.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
39 Has recently performed a self-audit / review of records management practices No Has no records management audit plan.
40 Has preservation program for archival records NoHas no program for this. The records unit of UPLB-RMO perform some archival task. The records officer can consider consulting with archives officers to draft a program for the office.
41 Has an established system in managing electronic records Partial
42 Has adequate digital storage for electronic records Yes43 Has necessary back-up systems for electronic
records Yes
44Records management training is included in the organisation’s Education, Training & Development Plan
Partial45 Has recently sent records personnel to a training Yes46 There is provision for the regular review of
training needs of personnel in-charge of records NoFindings:
Yes 24 52%No 11 24%
Partial 11 24%
Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.
UPLB-RMO has started managing electronic records through the ADMS. This section is manned by contractual staff. Funding for the project is requested annually through submission of an accomplishment report. The system and the process are documented.
It would be helpful if the staff members in-charge of the project are in permanent positions to ensure the continuity of the program.
Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.
Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of their plan to improve her skills on records
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Manila Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470) No The records personnel is not familiar with any
legislation on records management.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
NoAlmost all practices of the office are not documented. The records management is dependent on the pratice of the AO and of the records personnel.
3 Has an official records and archives office / unit approved by NAP and DBM No
There are plans to establish a records office in UP Manila. To start it off, a central receiving/releasing unit for all UP Manila communications called Central Contact Point (CPC) was established 2012.
4 Appointed qualified records officer and archivist NoRecords management is an additional task to the staff of the office. The eventual creation of the records office may secure records officer/personnel plantilla items.
5 Constituted a Records Management Improvement Committee No
Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.
6 Established a comprehensive records management program No Has no established records management program.
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
No Has no records management policy.
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Best practices in records management Evidence Remarks
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
8 Has manuals of instructions/operations on records management No
Though the chancellors of UP Manila issued various memoranda on records management implementation, there is no available manual for use of the records personnel.
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
No Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.
10Designed and implemented a records system to carry out and support the records management processes of the institution
No
Designing and implementation of records system must be a collective effort of all UPM units. An efficient records system must include all business processes of the campus. The implementation of a centralized receiving/releasing unit is just one aspect of records management. UPM should address all aspects of records management to ensure smooth business processes.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
PartialUP Manila has a Document Assessment and Tracking System which is used to capture, register and track (with barcodes) the records of almost all incoming and outgoing communications in UP Manila.
This is just a basic system which do not address the complexity of the records that the office manages. This system must be properly documented.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
Yes The UP Manila has a central receiving/releasing unit called CPC supervised by a records officer.
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes The records personnel maintains logbooks and DTS.
14 Established control system in records creation PartialAll memos, AOs and outgoing issuances of the Chancellor are controlled through number/letter codes. These are reviewed by the Chancellor and the AO prior to release.
This system must be properly documented.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
15 Use of retention and classification codes as soon as the records is created / captured No
Records for filing are compiled on a side table of the records personnel for filing during free-time. No codes or notes is assigned to the records upon receipt or filing.
16 Established standard in registration of records PartialUP Manila has a Document Assessment and Tracking System which is used to capture, register and track (with barcodes) the records of almost all incoming and outgoing communications in UP Manila.
This is just a basic system which do not address the complexity of the records that the office manages. This system must be properly documented. A manual should be promulagated to guide all records personnel in the campus.
17 Has prescribed file classification system for uniform filing system No
Classification system is not documented. Thus, the old practice is maintained or developed by the current records personnel. Drastic change cannot be implemented due to lack of supporting documents.
18 Has adequate records storage integrated with the overall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integrated with the overall records management program Yes Non-active records are filed in the storage room
which is almost full. Records retention and disposition must be strictly observed to address this issue.
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
NoThe storage room cannot be considered as mini-archives. UPM-OC has no plans yet to transfer any of its non-active records to NAP or any agency.
22 Has set standards and criteria to maximize filing equipment and floor space No Has no standard/criteria to maximize filing
equipment and floor space.
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
YesSteel cabinets, boxes and the storage area are not accessible to any non-UPM-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel has access to these.
Active records are filed in the steel cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the Chancellor. To protect the records and UPM-OC, the rules in handling confidential records must be in place.
25 Has established finding aids in retrieving andaccessing records Partial
The DTS is the most efficient finding aids of the office. If not found in the DTS, the records personnel rely on his knowledge of the files.
Aside from DTS, other finding aids should be devised. Needs documentation.
26 Has tracking system for active records PartialUP Manila has a Document Assessment and Tracking System which is used to capture, register and track (with barcodes) the records of almost all incoming and outgoing communications in UP Manila.
Needs documentation.
27 Has an established records loaning system NoThe records personnel shared that most of the units call him to request for records. As a practice, he provide the requestor a photocopy of the record to avoid record loss. Establishment of a loaning system will prevent lost records, and to save on papers too.
28 Has rules in the proper turnover of records tosuccessor/NAP No No established rules.
29 Has an established guidelines on records transfercompliant with NAP rules No
30 Developed clear rules in transferring records toarchives No
31 Separation of records for disposal from those forfurther retention as suggested by NAP No
32 Compliant with the General Records DispositionSchedule (GRDS) of NAP No
33Uses an approved Retention Disposition Schedule(RDS) by NAP, listing all records which are not found in the GRDS
No
34 Use of retention code (RDS/GRDS) before therecords are filed No Retention codes are not identified before filing.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.
The records personnel conduct disposition upon instruction ftom chief administrative officer. This practice is solely dependent on the knowledge of the personnel on the records.
By practice, non-record materials, like publications, magazines, etc., are sent to the library.Due to lack of time, records personnel barely review the records for possible disposition.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
36 Has an approved records inventory and appraisal schedule, at least once a year No
Since the records personnel just recently handled the records management in UPM-OC, 2 years ago, he has not inventoried the records of the office. He is also unaware of any effort in the past years.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
No Due to lack of time, records personnel barely review the records for possible disposition.
38 Has records preservation and restoration procedures as consulted with NAP No The office has no program for this.
39 Has recently performed a self-audit / review of records management practices No Has no records management audit plan.
40 Has preservation program for archival records No Has no program for this.41 Has an established system in managing electronic
records No42 Has adequate digital storage for electronic records No43 Has necessary back-up systems for electronic
records No
44Records management training is included in the organisation’s Education, Training & Development Plan
No
45 Has recently sent records personnel to a training No
46 There is provision for the regular review of training needs of personnel in-charge of records NoFindings:
Yes 4 9%No 37 80%
Partial 5 11%
Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.
With the implementation of eUP, the office is now starting to learn on and work with electronic records.
The records personnel shared that he is yet to attend any records management training, even basic records management trainings.Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Visayas Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related torecords management (e.g. ISO 15489, RA 9470) No The records personnel is not familiar with any
legislation on records management.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
NoThe records personnel shared that she uses a records classification scheme. But almost all practices of the office are not documented. The records management is dependent on the pratice of the AO and of the records personnel.
3 Has an official records and archives office / unitapproved by NAP and DBM No
The UPV-OC serves as the main records office in the campus. There should be an organic records office to comply with RA 9470 and ISO 15489.
4 Appointed qualified records officer and archivist No Records management is an additional task to the staff of the office.
5 Constituted a Records Management ImprovementCommittee No
Has not constituted a standing committee for the improvement of its records management. There weread hoc committees constituted in 1970s.
6 Established a comprehensive recordsmanagement program No Has no established records management program.
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
No Has no records management policy.
8 Has manuals of instructions/operations on records management No Has no compiled manual of instructions/operations.
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
No Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.
10Designed and implemented a records system to carry out and support the records management processes of the institution
NoDesigning and implementation of records system must be a collective effort of all UPV units. An efficient records system must include all business processes of the campus.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
PartialUPV-OC uses logbook to capture records. This system is limited to processing of title, author/recipient, and date of receipt/release, and action taken of the records.
This is just a basic system which do not address the complexity of the records that the office manages. This system must be properly documented.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
PartialUPV-OC serves as the main receiving/releasing office in the campus as it process almost all types of records. There is no records officer in the office.
The system needs review and proper documented.
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes UPV-OC uses logbook to capture records.
14 Established control system in records creation PartialAll memos, AOs and outgoing issuances of the Chancellor are controlled through letter/number codes. These issuances are reviewed by the Chancellor and the AO prior to release.
This system must be properly documented.
15 Use of retention and classification codes as soonas the records is created / captured No
Records for filing are compiled on side table of the records personnel for filing during free-time. No codes or notes is assigned to the records upon receipt or filing.
171
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
16 Established standard in registration of records PartialUPV-OC uses logbook to capture records. This system is limited to processing of title, author/recipient, and date of receipt/release, and action taken of the records.
This is just a basic system which do not address the complexity of the records that the office manages. This system must be properly documented.
17 Has prescribed file classification system foruniform filing system No
According to the records personnel, she uses a classification scheme in managing records but not documented. Thus, further enhancement cannot be implemented due to lack of supporting documents.
18 Has adequate records storage integrated with theoverall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integrated with the overall records management program Yes Non-active records are filed in the storage room
which is also almost full. Records retention and disposition must be strictly observed to address this issue.
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
NoThe storage room cannot be considered as mini-archives. UPV-OC has not planned any transfer of non-active records to NAP or any agency.
22 Has set standards and criteria to maximize filingequipment and floor space No Has no standard/criteria to maximize filing
equipment and floor space.
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
PartialSteel cabinets, boxes and the storage area are not accessible to any non-UPV-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel has access to these.
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the Chancellor. To protect the records and the UPV-OC, the rule in handling confidential records must be in place.
25 Has established finding aids in retrieving andaccessing records No
The records personnel rely on her knowledge of the files. Finding aid should be devised for use of the office.
Active records are filed in the steel/wooden cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
26 Has tracking system for active records PartialThe office rely on the logbook to track records. The office may consider devising new system for efficient tracking.
27 Has an established records loaning system No
The records personnel shared that most of the units call her to request for records. As a practice, she mostly provide a photocopy to prevent record loss. These requests are all listed in a logbook. Establishment of a loaning system will prevent lost records, and to save on papers too.
28 Has rules in the proper turnover of records tosuccessor/NAP No No established rules.
29 Has an established guidelines on records transfercompliant with NAP rules No No established rules.
30 Developed clear rules in transferring records toarchives No No established rules.
31 Separation of records for disposal from those forfurther retention as suggested by NAP No No established rules.
32 Compliant with the General Records DispositionSchedule (GRDS) of NAP No
33Uses an approved Retention Disposition Schedule(RDS) by NAP, listing all records which are not found in the GRDS
No
34 Use of retention code (RDS/GRDS) before therecords are filed No Retention codes are not identified before filing.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.36 Has an approved records inventory and appraisal
schedule, at least once a year No The office has not done any records ineventory and appraisal.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
No Due to lack of time, records personnel barely review the records for possible disposition.
38 Has records preservation and restorationprocedures as consulted with NAP No The office has no program for this.
The records personnel conduct disposition upon instruction from the administrative officer or the Chancellor, or as the need arises. This practice is solely dependent on the knowledge of the personnel on the records.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
39 Has recently performed a self-audit / review of records management practices No Has no records management audit plan.
40 Has preservation program for archival records No Has no program for this.41 Has an established system in managing electronic
records No42 Has adequate digital storage for electronic records No43 Has necessary back-up systems for electronic
records No
44Records management training is included in the organisation’s Education, Training & Development Plan
No
45 Has recently sent records personnel to a training No
46 There is provision for the regular review of training needs of personnel in-charge of records NoFindings:
Yes 2 4%No 38 83%
Partial 6 13%
As per records personnel, their office is not yet ready for electronic records.
The records personnel shared that he is yet to attend any records management training, even basic records management trainings.Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.
174
Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Open University Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470) No
The records officer is familiar with RA 9470 but the provisions are not implemented in their records management practices.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
Partial UPOU-OC is using a file classification guide. This is just a listing of all the folder/cabinet drawers the office has. No other tool is used.
3 Has an official records and archives office / unit approved by NAP and DBM No
UPOU has no records office. Each office manages its own records. There is a plan to establish a records center in UPOU but because of the dearth in plantilla items, this plan is kept in the pipeline.
4 Appointed qualified records officer and archivist No Records management is an additional task to the staff of the office.
5 Constituted a Records Management Improvement Committee No
Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.
6 Established a comprehensive records management program No Has no established records management program.
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
No Has no records management policy.
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Best practices in records management Evidence Remarks
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
8 Has manuals of instructions/operations on records management No Has no compiled manual of instructions/operations.
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
No Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.
10Designed and implemented a records system to carry out and support the records management processes of the institution
NoDesigning and implementation of records system must be a collective effort of all UPOU units. An efficient records system must include all business processes of the campus.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
PartialUPOU-OC uses logbook and UP DTS to capture/register/track records. This is the general practice that needs to be reviewed.
This should be reviewed and should be documented comprehensively for any future development.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
PartialUPOU-OC serves as the main receiving/releasing office in the campus as it process almost all types of records. There is no records officer in the office. The main messengerial function within the campus is assigned to the HRDO.
This should be reviewed and should be documented comprehensively for any future development.
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes UPOU-OC uses logbook and UP DTS to
capture/register/track records. This should be reviewed and should be documented comprehensively for any future development.
14 Established control system in records creation PartialAll memos, AOs and outgoing issuances of the Chancellor are controlled through letter/number codes. These are reviewed by the Chancellor and the AO prior to release.
This system must be properly documented.
15 Use of retention and classification codes as soonas the records is created / captured Partial
The records officer/AO gives intructions to the records personnel (through written notes) on the classification, index, and retention for few select records of the office. This is not performed for all the records.
This should be reviewed and should be documented comprehensively for any future development.
16 Established standard in registration of records Partial UPOU-OC uses logbook and UP DTS to capture/register/track records.
This should be reviewed and should be documented comprehensively for any future development.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
17 Has prescribed file classification system foruniform filing system Partial UPOU-OC is using a file classification guide.
This is just a listing of all the folder/cabinet drawers the office has. A comprehensive classification system should be crafted.
18 Has adequate records storage integrated with theoverall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integratedwith the overall records management program Yes Non-active records are filed in the storage room
which is also almost full. Records retention and disposition must be strictly observed to address this issue.
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
NoThe storage room cannot be considered as mini-archives. UPOU-OC has not planned any transfer of non-active records to NAP or any agency.
22 Has set standards and criteria to maximize filingequipment and floor space No Has no standard/criteria to maximize filing
equipment and floor space.
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
PartialSteel cabinets, boxes and the storage area are not accessible to any non-UPOU-OC staff, this makes therecords safe from any unauthorised access. Only the Chancellor, AO and the records personnel has access to these.
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the Chancellor. To protect the records and the UPOU-OC, the rule in handling confidential records must be in place.
25 Has established finding aids in retrieving andaccessing records Partial
26 Has tracking system for active records Partial
Active records are filed in the steel/wooden cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records. But UPOU has plans for new building which can accommodate a new records storage.
UPOU-OC uses logbook and UP DTS to capture/register/track records.
If not found in logbook and DTS, the records personnel rely on her knowledge of the files. Other finding aid should be devised for use of the office. This should be reviewed and should be documented comprehensively for any future development.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
27 Has an established records loaning system No
The records personnel shared that most of the units call her to request for records. As a practice, she mostly provide a photocopy to prevent record loss. These requests are all listed in a logbook. The establishment of a loaning system will prevent lost records, and to save on papers too.
28 Has rules in the proper turnover of records tosuccessor/NAP No No established rules.
29 Has an established guidelines on records transfercompliant with NAP rules No
30 Developed clear rules in transferring records toarchives No
31 Separation of records for disposal from those forfurther retention as suggested by NAP No As shared by the records personnel, they are not yet
disposing any record. 32 Compliant with the General Records Disposition
Schedule (GRDS) of NAP No
33Uses an approved Retention Disposition Schedule(RDS) by NAP, listing all records which are not found in the GRDS
No
34 Use of retention code (RDS/GRDS) before therecords are filed No No retention code is used.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.36 Has an approved records inventory and appraisal
schedule, at least once a year No The office has not done any records ineventory and appraisal.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
NoAs shared by the records personnel, they are not yet disposing any record, and has no plan at the moment to dispose any record.
38 Has records preservation and restorationprocedures as consulted with NAP No The office has no program for this.
By practice, non-record materials, like publications, magazines, etc., are sent to the library.Due to lack of time, records personnel barely review the records for possible disposition.
As shared by the records personnel, they are not yet disposing any record. They plan to consult the GRDS of NAP as soon as a disposal schedule is up.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
39 Has recently performed a self-audit / review ofrecords management practices No Has no records management audit plan.
40 Has preservation program for archival records No Has no program for this.41 Has an established system in managing electronic
records No42 Has adequate digital storage for electronic
records Partial43 Has necessary back-up systems for electronic
records No
44Records management training is included in the organisation’s Education, Training & Development Plan
Partial
45 Has recently sent records personnel to a training Yes46 There is provision for the regular review of
training needs of personnel in-charge of records NoFindings:
Yes 3 7%No 31 67%
Partial 12 26%
The office manages 20% electronic records. The records personnel confirmed that this percentage may increase soon. A manual on e-records management must be crafted.
Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.
Notes: - Records managers may opt to focus on items withpartial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain thefindings of the audit.
Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.
179
Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Mindanao Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related torecords management (e.g. ISO 15489, RA 9470) No
The records personnel are familiar with ISO 15489 and RA 9470. With the creation of a records management team (2014-2016), the unit is now on its way to complying with relevant regulations of records mangement.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
NoThe records personnel have records management tools on file, which was from a previous seminar/training, but barely consult it.
3 Has an official records and archives office / unitapproved by NAP and DBM No UP Mindanao has no official records office at the
moment, but has plans of establishing one.4 Appointed qualified records officer and archivist No Records management is an additional task to the staff
of the office. 5 Constituted a Records Management Improvement
Committee PartialUP Mindanao constituted a records management team in 2014. The appointment of the committee members are only up to 2016.
Has not constituted a standing committee for the improvement of its records management. There weread hoc committees constituted in 1970s.
6 Established a comprehensive recordsmanagement program No
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
No
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
The office has no established records management program yet. The records management team 2014-2016 is expected to come up with a records management/archiving system and manual for the entire campus.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
8 Has manuals of instructions/operations on records management No
The office has no records management manual yet. The records management team 2014-2016 is expected to come up with a records management/archiving system and manual for the entire campus.
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
No Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.
10Designed and implemented a records system to carry out and support the records management processes of the institution
NoDesigning and implementation of records system must be a collective effort of all UPMin units. An efficient records system must include all business processes of the campus.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
Partial UPMin-OC uses logbook and UP DTS to capture/register/track records.
This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
No Each unit of the campus has its own receiving/releasing and messengerial units.
13 Use of logbook or equivalent to record all official records in chronological order Yes UPMin-OC uses logbook and UP DTS to
capture/register/track records.
This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.
14 Established control system in records creation PartialAll memos, AOs and outgoing issuances of the Chancellor are controlled through number codes. These issuances are reviewed by the Chancellor and the AO prior to release.
This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel.
15 Use of retention and classification codes as soon as the records is created / captured No
The campus has no systematic retention and classification system yet but the records management team is expected to propose a system.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
16 Established standard in registration of records Partial UPMin-OC uses logbook and UP DTS tocapture/register/track records.
This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.
17 Has prescribed file classification system foruniform filing system No
The campus has no systematic retention and classification system yet. This system must be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.
18 Has adequate records storage integrated with theoverall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integrated with the overall records management program Yes
Non-active records are filed in the storage room which is also almost full. Records retention and disposition must be strictly observed to address this issue.
As per records personnel, their storage room is for UPMin-OC records only. Each office of the campus has an allocation of one storage room.
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
Partial Storage room of the office is almost full. Compliance with the GRDS of NAP and RDS of the agency is very much needed.
22 Has set standards and criteria to maximize filingequipment and floor space No The office has no standard/criteria to maximize filing
equipment and floor space.
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
PartialSteel cabinets, boxes and the storage area are not accessible to any non-UPMin-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel have access to these.
Active records are filed in the steel cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records. The office is not ready for future expansion of active records as they lack not only in storage room but alsothe workforce.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the Chancellor. This rule should be reviewed and should be documented comprehensively for any future update.
25 Has established finding aids in retrieving andaccessing records Partial
The DTS is the most efficient finding aid of the office. If not found in the DTS, the records personnel rely on his knowledge of the files.
This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.
26 Has tracking system for active records Partial UPMin-OC uses logbook and UP DTS tocapture/register/track records.
This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.
27 Has an established records loaning system Partial The office uses logbook to record on loan recordsand has no period set for on loan records.
This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.
28 Has rules in the proper turnover of records tosuccessor/NAP No The office has no established rules.
29 Has an established guidelines on records transfercompliant with NAP rules No The office has no established guidelines.
30 Developed clear rules in transferring records toarchives No By practice, the office usually transfer records to
archives after the term of a chancellor (3 years).31 Separation of records for disposal from those for
further retention as suggested by NAP No The office has no established rules.32 Compliant with the General Records Disposition
Schedule (GRDS) of NAP No
33Uses an approved Retention Disposition Schedule(RDS) by NAP, listing all records which are not found in the GRDS
NoThe records management team is expected to developa records retention and disposition schedule.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
34 Use of retention code (RDS/GRDS) before the records are filed No Retention codes are not identified before filing.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.36 Has an approved records inventory and appraisal
schedule, at least once a year No
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
No
38 Has records preservation and restoration procedures as consulted with NAP No The office has no program for this.
39 Has recently performed a self-audit / review of records management practices No The office has no records management audit plan.
40 Has preservation program for archival records No The office has no program for this.41 Has an established system in managing electronic
records No
42 Has adequate digital storage for electronic records No
43 Has necessary back-up systems for electronic records No
44Records management training is included in the organisation’s Education, Training & Development Plan
Partial
45 Has recently sent records personnel to a training Yes46 There is provision for the regular review of
training needs of personnel in-charge of records NoFindings:
Yes 3 7%No 33 72%
Partial 10 22%
Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.
The office usually review its records every 3 years, after the term of a chancellor. This should be reviewed and should be documented comprehensively for any future update.
Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.
With the implementation of eUP, the office is now starting to learn on and work with electronic records. Almost 20% of the records of the office are now in electronic format. The electronic records management system must be documented at this early stage. The back-up systems should be in place.Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.
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Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Baguio Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related torecords management (e.g. ISO 15489, RA 9470) No
The records personnel is familiar with ISO 15489 and RA 9470. She has plans to comply with said regulations.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
NoThough the records personnel has a copy of NAP RDS, she admitted that she barely consult the schedule. She also tried to inventory their records in 1996 but instead came up with a general listing of all folders in their steel cabinets of the office.
3 Has an official records and archives office / unitapproved by NAP and DBM No The office has no plans yet.
4 Appointed qualified records officer and archivist No Records management is an additional task to the staff of the office.
5 Constituted a Records Management ImprovementCommittee No
Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.
6 Established a comprehensive records managementprogram No The office has no established records management
program.
7Has a records management policy adopted and endorsed at the highest decision-making level andpromulgated throughout the organization, with schedule of regular review
No The office has no records management policy.
8 Has manuals of instructions/operations on recordsmanagement No The office has no manuals of instructions/operations
on records management.
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
No Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.
10Designed and implemented a records system to carry out and support the records management processes of the institution
NoDesigning and implementation of records system must be a collective effort of all UPB units. An efficient records system must include all business processes of the campus.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
Partial UPB-OC uses logbook to capture/register/track records.
This should be reviewed and should be documented comprehensively for any future update.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
PartialThe UPB-OC is the central receiving/releasing unit ofUPB. It has pigeon hole shelving units to systematizethis additional function. This is only supervised by the records personnel staff of OC, not by any records officer.
This should be reviewed and should be documented comprehensively for any future update. A records officer should supervise this function.
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes The records personnel maintains two logbooks.
This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel.
14 Established control system in records creation PartialMemoranda are issued with control numbers. The Chancellor review most of the outgoing issuances prior to release.
This should be reviewed and should be documented comprehensively for any future update.
15 Use of retention and classification codes as soonas the records is created / captured No
Records for filing are compiled on the side table of the records personnel for filing during free-time. No codes or notes is assigned to the records upon receipt or filing.
16 Established standard in registration of records Partial UPB-OC uses logbook to capture/register/trackrecords.
This should be reviewed and should be documented comprehensively for any future update.
186
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
17 Has prescribed file classification system for uniform filing system Partial
In 1996, the records personnel came up with the listing of all file folders in their records storage. She updates this list, in longhand, everytime a new folder is created.
The records personnel shared that her folder listing file in her computer was compromised during the ICT upgrade of OC. This process be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel.
18 Has adequate records storage integrated with the overall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integrated with the overall records management program Partial Most of the non-active records are filed in the Board
room.
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
No
22 Has set standards and criteria to maximize filing equipment and floor space No Has no standard/criteria to maximize filing
equipment and floor space.
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
PartialBecause of the peculiar location of the storage area, records are safe from any unauthorised access. The Board room and the records room are both locked. Only the records personnel has the key to open the doors.
The room is not designed for recordkeeping. Vital records of UPB-OC should be kept in record-friendly storage area.
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the Chancellor. This rule should be reviewed and should be documented comprehensively for any future update.
The room is not designed for recordkeeping. Vital records of UPB-OC should be kept in record-friendly storage area.
According to the records personnel, they used to have a storage room for records. But since the room was converted into an office, they are storing their non-active records in the Board room. She added that during meetings in the Board room, their records are temporary inaccesible. This room is not designed for recordkeeping.
187
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
25 Has established finding aids in retrieving andaccessing records Partial
In 1996, the records personnel came up with the listing of all file folders in their records storage, though there is no guarrantee that the record can be found in related folders since the list contains folder names only.
This rule should be reviewed and should be documented comprehensively for any future update.
26 Has tracking system for active records PartialUPB-OC uses logbook to capture/register/track records. Additionally, records referred to other offices are tracked through hand-written notes of the records personnel.
The office may consider devising new system for efficient tracking. This should be reviewed and should be documented comprehensively for any future update.
27 Has an established records loaning system No
The records personnel shared that most of the units call her for help when locating records. As a practice, she provide the requestor a photocopy of the record to avoid record loss.As a practice, she mostly provide a photocopy to prevent record loss. The establishment of a loaning system will prevent lost records, and to save on papers too.
28 Has rules in the proper turnover of records tosuccessor/NAP No No established rules.
29 Has an established guidelines on records transfercompliant with NAP rules No
30 Developed clear rules in transferring records toarchives No
31 Separation of records for disposal from those forfurther retention as suggested by NAP No No established rules.
32 Compliant with the General Records DispositionSchedule (GRDS) of NAP No
33Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS
No
34 Use of retention code (RDS/GRDS) before therecords are filed No
Records for filing are compiled on the side table of the records personnel for filing during free-time. No codes or notes are assigned to the records upon receipt or filing.
Though the records personnel has a copy of NAP RDS, she admitted that she barely consult the schedule.
By practice, non-record materials, like publications, magazines, etc., are sent to the library. The process needs documentation because it heavily depends on the practice of the current records personnel.
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ComplianceYes/No/Partial
Best practices in records management Evidence Remarks35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.36 Has an approved records inventory and appraisal
schedule, at least once a year No Their last comprehensive records review was in 1996.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
No Their last comprehensive records review was in 1996.
38 Has records preservation and restoration procedures as consulted with NAP No The office has no program for this.
39 Has recently performed a self-audit / review of records management practices No Has no records management audit plan.
40 Has preservation program for archival records No The office has no program for this.
41 Has an established system in managing electronic records No
Though the office is starting to digitize some of its records, a system is yet to be established. The office must gradually document its electronic records management at this early stage.
42 Has adequate digital storage for electronic records NoAt the moment, their electronic records are saved on to CDs/DVDs and computer hard disk only. They plan to purchase external hard drive to back up their electronic records.
43 Has necessary back-up systems for electronic records No The office plans to purchase external hard drive to
back up their electronic records.44
Records management training is included in the organisation’s Education, Training & Development Plan
Partial
45 Has recently sent records personnel to a training Yes
46 There is provision for the regular review of training needs of personnel in-charge of records NoFindings:
Yes 2 4%No 34 74%
Partial 10 22%
Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.
Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.
Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.
189
Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.Scope: Administrative record holdings of the top-level offices/records offices in UPMethodology:Survey questionnaire, interview and site visitUnit : UP Cebu Date: 01-May-15Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related torecords management (e.g. ISO 15489, RA 9470) No
The records personnel are familiar with RA 9470 but did admit that they are not complying with its provisions.
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
Partial The office is using a records classification scheme.No other tool is used.
UP Cebu should devise other tool to manage its records effectively.
3 Has an official records and archives office / unitapproved by NAP and DBM No UP Cebu has no records office. Each office manages
its own records. 4 Appointed qualified records officer and archivist No Records management is an additional task to the staff
of the office.
5 Constituted a Records Management ImprovementCommittee No
Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.
6 Established a comprehensive records managementprogram No The office has no established records management
program.
7Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
No The office has no records management policy.
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
190
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
8 Has manuals of instructions/operations on recordsmanagement No The office has no manuals of instructions/operations
on records management.
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
No Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.
10Designed and implemented a records system to carry out and support the records management processes of the institution
NoDesigning and implementation of records system must be a collective effort of all UP Cebu units. An efficient records system must include all business processes of the campus.
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
Partial UP Cebu Dean's Office uses logbook and UP DTS tocapture/register/track records.
This should be reviewed and should be documented comprehensively for any future update.
12Established a centralized receiving/releasing and messengerial units under the accountability of the records officer
No Each unit of the college has its own receiving/releasing and messengerial units.
13 Use of logbook or equivalent to record all officialrecords in chronological order Yes UP Cebu Dean's Office uses logbook and UP DTS to
capture/register/track records. This should be reviewed and should be documented comprehensively for any future update.
14 Established control system in records creation PartialAll memos, AOs and outgoing issuances of the Dean are controlled through uniform title system. These issuances are reviewed by the Dean prior to release.
This should be reviewed and should be documented comprehensively for any future update.
15 Use of retention and classification codes as soonas the records is created / captured No The office has no established rules.
191
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
16 Established standard in registration of records Partial UP Cebu Dean's Office uses logbook and UP DTS tocapture/register/track records.
This should be reviewed and should be documented comprehensively for any future update.
17 Has prescribed file classification system foruniform filing system Partial According to the records personnel, they have a
records classification guide. This should be reviewed and should be documented comprehensively for any future update.
18 Has adequate records storage integrated with theoverall records management program No
19Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth
No
20 Has storage for non-current record integrated withthe overall records management program Partial Only the HR and student non-active records are kept
in the storage room of UP Cebu.Review the types of records for storage. The university records are far more encompassing than just HR and student records. UP Cebu Dean's Office records are also considered vital records.
21Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP
NoThe storage room cannot be considered as mini-archives. UP Cebu has not planned any transfer of non-active records to NAP or any agency.
22 Has set standards and criteria to maximize filingequipment and floor space No The office has no standard/criteria to maximize filing
equipment and floor space.
Active records are filed in the steel/wooden cabinets inside the office. Almost all cabinets are full. Some boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records. The records personnel shared that they are not yet ready for future growth of records because of limited storage and limited workforce.
192
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
23Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
PartialSteel cabinets, boxes and the electronic storage systems are not accessible to any non-UP Cebu Dean's office staff, this makes the records safe from any unauthorised access. Only the Dean and the records personnel has access to these.
24 Provided rules on how to handle confidential files NoBy practice, release of any confidential record must be approved by the Dean. To protect the records and the office, the rule in handling confidential records must be in place.
25 Has established finding aids in retrieving andaccessing records Partial
When not found in logbook and DTS, the records personnel rely on her knowledge of the files. Other finding aids should be devised for efficient records management.
26 Has tracking system for active records PartialThis should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel.
27 Has an established records loaning system No
The records personnel shared that most of the units call her to request for records. As a practice, she mostly provide a photocopy to prevent record loss. This requests are all listed in a logbook. The establishment of a loaning system will prevent lost records and to save on papers too.
28 Has rules in the proper turnover of records tosuccessor/NAP No The office has established rules.
29 Has an established guidelines on records transfercompliant with NAP rules No By practice, non-record materials, like publications,
magazines, etc., are kept by the office.
UP Cebu Dean's Office uses logbook and UPS DTS to capture/register/track records.
193
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
30 Developed clear rules in transferring records toarchives No
31 Separation of records for disposal from those forfurther retention as suggested by NAP No
32 Compliant with the General Records DispositionSchedule (GRDS) of NAP No
33Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS
No
34 Use of retention code (RDS/GRDS) before therecords are filed No No retention code is used by the office.
35 Has a disaster recovery plan for records No The office has no records disaster recovery plan.
36 Has an approved records inventory and appraisalschedule, at least once a year No The office has no approved records ineventory and
appraisal schedule.
37Conduct periodic examination of records at least once a year to identify valueless records for disposal
Partial The office try to review its records annually. This should be reviewed and should be documented.
38 Has records preservation and restorationprocedures as consulted with NAP No The office has no program for this.
39 Has recently performed a self-audit / review ofrecords management practices No The office has no records management audit plan.
40 Has preservation program for archival records No The office has no program for this.41 Has an established system in managing electronic
records No
Due to lack of time, records personnel barely review the records for possible disposition.
The office is starting to manage electronic records.
Retention and disposal of records are dependent on the practice and knowledge of the files of the records personnel. Records for destruction is approved by the Dean.
194
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
42 Has adequate digital storage for electronic records No43 Has necessary back-up systems for electronic
records No
44Records management training is included in the organisation’s Education, Training & Development Plan
No
45 Has recently sent records personnel to a training No
46 There is provision for the regular review oftraining needs of personnel in-charge of records NoFindings:
Yes 1 2%No 35 76%
Partial 10 22%
They are now in the process of meeting the hardware requirements of e-records management. The system must also be documented at this early stage.
The records personnel shared that he is yet to attend any records management training, even basic records management trainings.Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.Notes: - Records managers may opt to focus on items withpartial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain thefindings of the audit.
195
Objective: Scope: Methodology:Unit : Date:Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
ComplianceYes/No/Partial
1 Observance of regulatory environment related to recordsmanagement (e.g. ISO 15489, RA 9470)
2Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, allocation of number and code)
3 Has an official records and archives office / unit approved by NAP and DBM
4 Appointed qualified records officer and archivist5 Constituted a Records Management Improvement Committee6 Established a comprehensive records management program7
Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, with schedule of regular review
8 Has manuals of instructions/operations on records management
9Documented the responsibilities of each records personnel and all other employees of the institution who perform tasks related to management of records
10 Designed and implemented a records system to carry out andsupport the records management processes of the institution
11Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system and metadata assignment
12 Established a centralized receiving/releasing and messengerialunits under the accountability of the records officer
University of the PhilippinesSelf-Audit Tool for Records Management
Best practices in records management Evidence Remarks
Appendix I-B
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
13 Use of logbook or equivalent to record all official records inchronological order
14 Established control system in records creation15 Use of retention and classification codes as soon as the records
is created / captured16 Established standard in registration of records17 Has prescribed file classification system for uniform filing
system18 Has adequate records storage integrated with the overall
records management program19 Storage areas allocated to hold physical records have adequate
space to accommodate anticipated growth20 Has storage for non-current record integrated with the overall
records management program21 Established an Agency Storage / Mini Archives for non-current
records preparatory their transfer to NAP22 Has set standards and criteria to maximize filing equipment and
floor space23
Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records
24 Provided rules on how to handle confidential files25 Has established finding aids in retrieving and accessing records26 Has tracking system for active records27 Has an established records loaning system28 Has rules in the proper turnover of records to successor/NAP29 Has an established guidelines on records transfer compliant
with NAP rules30 Developed clear rules in transferring records to archives31 Separation of records for disposal from those for further
retention as suggested by NAP32 Compliant with the General Records Disposition Schedule
(GRDS) of NAP197
ComplianceYes/No/Partial
Best practices in records management Evidence Remarks
33 Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS
34 Use of retention code (RDS/GRDS) before the records are filed35 Has a disaster recovery plan for records36 Has an approved records inventory and appraisal schedule, at
least once a year37 Conduct periodic examination of records at least once a year to
identify valueless records for disposal38 Has records preservation and restoration procedures as
consulted with NAP39 Has recently performed a self-audit / review of records
management practices40 Has preservation program for archival records41 Has an established system in managing electronic records42 Has adequate digital storage for electronic records43 Has necessary back-up systems for electronic records44 Records management training is included in the organisation’s
Education, Training & Development Plan45 Has recently sent records personnel to a training46 There is provision for the regular review of training needs of
the personnelFindings:
YesNo
Partial
Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.
198
Unit: Office of the UP President (OP)Description:
Head: President Alfredo E. Pascual
Reference:
Organizational chart was provided by the respondent from OP.
University , 2008. Retrieved on 11 December 2014 from http://www.lawphil.net/statutes/repacts/ra2008/ra_9500_2008.html
Fact File on the Office of the UP Presidentas of June 2015
OP backstops the President in overseeing the operations of the whole UP System and in ensuring that the goals set by the Charter, the directives from the BOR and strategic initiatives of the University are all being implemented. The vision of the office depends on agenda or initiatives of the current UP President. Its thrust also depends on the priority programs of the President.The UP President has a single six-year term who is elected by the UP Board of Regents (BOR), the highest policy making body of the University. The President is the chief academic officer, chief executive officer, and the head of the university faculty.
Orgranizational Chart of UP Office of the President
Republic Act 9500. An Act to Strengthen the University of the Philippines as the National
Appendix II
Unit: Office of the Secretary of University and of the of the Board of RegentsDescription:
Head: Secretary Lilian A. de las Llagas
Reference:
Organizational chart was downloaded from OSU website.15 January 2015 from http:// osu.up.edu.ph
Fact File on the Office of the Secretary of University and of the Board of Regentsas of June 2015
The office facilitates governance of the University through its work as the secretariat and administrative arm of the Board of Regents and the President’s Advisory Council. It serves as the primary interface and communication link between the top policy makers and executive officers of the University on one hand and the diverse stakeholders and resource providers of the University and the general public on the other. Being the repository of Board policies and decisions, the office may also be called upon to conduct or to oversee studies and research on policy issues that require Board attention and action.
Orgranizational Chart of Office of the Secretary of University and of the of the Board of Regents
Official website of the Office of the Secretary of the University and of the Board of Regents. Retrieved on
200
Unit: UP DilimanDescription:
History:
Number of students: 23,000Number of faculty: 2,000Number of degree programs: 300Current Chancellor: Dr. Michael L. Tan
UP Diliman is the flagship campus of the University of the Philippines. It is the leading Philippine university in science education and research, law, engineering, economics, business administration, education, public administration, communication, and other fields that require professional and licensure examinations. It also has a strong commitment to the arts. It has a total area of 493 hectares.In 1949, UP transferred from Manila to Diliman after the World War II as the Manila campus of the University was devastated by the war. On February 12, 1949, a motorcade made its way from Padre Faura all the way to a cogon-strewn expanse in Quezon City. At its head, borne on an open vehicle, was the Oblation, bronzed symbol of the University of the Philippines, on its way to its future home. This ceremony marked the university's transfer from its original site in Manila to its 493-hectare campus Diliman, which would have more room for the University's expansion as it fulfilled its role as educator to the nation.
Fact File on UP Dilimanas of June 2015
201
Orgranizational Chart of UP Diliman
202
References:
Organizational charts were provided by the respondent from UPD-OC.
Organizational Chart of UP Diliman - Office of the Chancellor
Official website of the University of the Philippines Diliman. Retrieved on 15 May 2015 from http:// www.upd.edu.ph
University of the Philippines. (2014). University of the Philippines . Unpublished brochure, University of the Philippines System Information Office.
203
Unit: UP Los BañosDescription:
History:
Number of students: 13,000Number of faculty: 1,000Number of degree programs: 129Current Chancellor: Dr. Fernando C. Sanchez, Jr
Fact File on UP Los Bañosas of June 2015
UP Los Baños is located in Laguna, nestled at the foot of Mt. Makiling. It is the recognized leader in agriculture, forestry and natural resources, veterinary medicine, biological and environmental sciences, development communication, engineering, mathematics, computer science, and information technology. Its College of Agriculture was one of the first three units organized in UP in 1909, offering the first-of-its-kind university-level instruction in basic and applied agricultural science in Southeast Asia. Its College of Agriculture was one of the “first three units organized in UP in 1909, offering the first-of-its-kind university-level instruction in basic and applied agricultural science in Southeast Asia. The College then became the nucleus of UP Los Baños in 1972 when the campus was elevated to an autonomous campus through P.D. No. 58.
Orgranizational Chart of UP Los Baños
204
References:
Organizational charts were provided by the respondent from UPLB-OC.
Organizational Chart of UP Los Baños - Office of the Chancellor
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Official website of the University of the Philippines Los Banos. Retrieved on 15 May 2015 from http:// www.uplb.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office.
205
Unit: UP Los Baños - Records Management OfficeDescription:
History:
Head: Ms. Apolonia L. Talatala
References:
Organizational chart was grabbed from UPLB-RMO Manual of Operations and Procedures.
UP Los Banos - Records Management Office (UPLB-RMO). (2004). RMO Manual of Operations and Procedures . Unpublished manual. University of the Philippines Los Banos, OVCA.
Fact File on UP Los Baños - Records Management Officeas of June 2015
The UPLB-RMO is the official records center established by the BOR for UPLB campus. The office started under the Administrative Division of the UP College of Agriculture in 1951. It was then created a records section in 1953 under the same college. In 1968, it was reconstituted as the Central Records Division, this time under the Office of the Vice President for Agriculture and Forestry Affairs. The office started to provide mail-messenger, mimeographing, radio communications and other recordkeeping operations. Finally, in 1987, the BOR approved the reorganization of UPLB Administration transferring the RMO under the Office of the Vice President for Administration
Orgranizational Chart of UP Los Baños - Records Management Office
206
Unit: UP ManilaDescription:
History:
Number of students: 5,900Number of faculty: 1,200Number of degree programs: 62Current Chancellor: Dr. Carmencita D. Padilla
Fact File on UP Manilaas of June 2015
UP Manila is the health sciences center of the UP System. It is the home to the National Institutes of Health (NIH) and the largest government tertiary hospital in the country, the Philippine General Hospital. Its mission/vision is to constantly strive to become an outstanding and relevant institution of the higher learning. Thus it shall provide the highest quality of advanced instruction, professional training, basic and applied research and community service, and thereby produce outstanding scholars, practitioners and leaders in the fields of health, the natural sciences, the social sciences and the humanities.UP Manila at the Ermita-Padre Faura campus is the birthplace of UP in 1908. Because of World War II, UP campus in Manila was severely damaged. The University transferred to Diliman, Quezon City in 1948 leaving behind the College of Medicine, College of Public Health and College of Dentistry which continue to hold classes in makeshift rooms. Through the years, additional college, institutes and units were established in Manila.
207
Orgranizational Chart of UP Manila
208
References:
Organizational charts were provided by the respondent from UPM-OC.
Organizational Chart of UP Manila - Office of the Chancellor
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Official website of the University of the Philippines Manila. Retrieved on 15 May 2015 from http:// www.upm.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office.
209
Unit: UP VisayasDescription:
History:
Number of students: 4,900Number of faculty: 350Number of degree programs: 38Current Chancellor: Dr. Rommel A. Espinosa
Fact File on UP Visayasas of June 2015
UP Visayas operates three campuses in Iloilo, Miagao and Tacloban. It is the leading university in marine science education and research, fisheries, and aquaculture.UP Visayas started as UP Iloilo College in 1947. After seven years, it became a full-fledged college and was renamed as UP College Iloilo. In 1979, the BOR approved the establishment of an autonomous University of the Philippines in the Visayas. UP Visayas was operationalized in 1980 through the Executive Order No. 628 issued by President Ferdinand Marcos, with the main campus in Miagao, and with the College of Fisheries as its flagship college.
Orgranizational Chart of UP Visayas
210
References:
Organizational charts were provided by the respondent from UPV-OC.
Organizational Chart of UP Visayas - Office of the Chancellor
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Official website of the University of the Philippines Visayas. Retrieved on 15 May 2015 from http:// www.upv.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office.
211
Unit: UP Open UniversityDescription:
History:
Number of students: 2,500Number of faculty: 200Number of degree programs: 29Current Chancellor: Dr. Grace J. Alfonso
Fact File on UP Open Universityas of June 2015
The UP Open University is a virtual university with base office in Los Baños, Laguna. It has seven learning centers and 21 testing centers all over the country. It also has virtual learning centers for its students based abroad.UP Open University was established on 23 February 1995 as the leader in teaching and learning in the digital age. It provides quality education to students in the country and abroad who are not able to attend conventional colleges and universities due to personal and professional constraints.
Orgranizational Chart of UP Open University
212
References:
Organizational charts were downloaded from UPOU website.
Organizational Chart of UP Open University - Office of the Chancellor
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Official website of the University of the Philippines Open University. Retrieved on 15 May 2015 from http:// www.upou.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office.
213
Unit: UP MindanaoDescription:
History:
Number of students: 1,100Number of faculty: 93Number of degree programs: 11Current Chancellor: Dr. Sylvia B. Concepcion
Fact File on UP Mindanaoas of June 2015
UP Mindanao's vision is to “EXCEL in Leadership, Education, Nationalism, Cultural sensitivity, and Environmental nurturance”. It iscommitted to lead in providing affordable quality education, scholarly research, and responsive and relevant extension services to diverse, marginalized and deserving sectors in Mindanao and neighboring regions through its programs in the sciences and the arts, inculcating a passion for excellence, creative thinking, and nationalism in the context of cultural diversity in a global community.UP Mindanao was established on 20 February 1995 through the enactment of Republic Act 7889 which created UP in Mindanao. In 1998, the BOR granted full autonomy to UP in Mindanao and became the sixth constituent unit of the UP System.
Orgranizational Chart of UP Mindanao
214
References:
Organizational charts were provided by the respondent from UPMin-OC.
Organizational Chart of UP Mindanao - Office of the Chancellor
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Official website of the University of the Philippines Mindanao. Retrieved on 15 May 2015 from http:// www.upmin.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office.
215
Unit: UP BaguioDescription:
History:
Number of students: 3,000Number of faculty: 143Number of degree programs: 14Current Chancellor: Dr. Raymundo D. Rovillos
Fact File on UP Baguioas of June 2015
UP Baguio is also known as the UP in the North. Throughout the years, UP Baguio has “worked at serving as the lead institution in the delivery of tertiary education in Northern Luzon, sustaining its efforts at modernization, the strengthening of curricular programs, and the active generation of knowledge through research”.UP Baguio traces its root in 1921 when a branch of the UP College of Liberal Arts was established in Vigan, Ilocos Sur. This was later transferred to Baguio in 1938 under the name UP College of Arts and Sciences. After the World War II, the college needed to be re-established as the building and facilities were totally destroyed by military operations. The re-construction was completed in 1961. The BOR granted the constituent university status to UP Baguio in 2002.
Orgranizational Chart of UP Baguio
216
References:
Organizational charts were provided by the respondent from UPB-OC.
Organizational Chart of UP Baguio - Office of the Chancellor
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Official website of the University of the Philippines Baguio. Retrieved on 15 May 2015 from http:// www.upb.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office.
217
Unit: UP Cebu CollegeDescription:
History:
Number of students: 1,600Number of faculty: 120Number of degree programs: 13Current Dean: Atty. Liza D. Corro
Fact File on UP Cebu Collegeas of June 2015
Being an autonomous college, UP Cebu envisions to significantly contribute to the development of the Central Visayas region through a constant produce of researches, higher education instruction and technical assistance.UP Cebu was established in 1918 as satellite unit of UP Diliman. It is the oldest among the UP campuses outside of Luzon. It was later on attached to UP Visayas as one of its campuses. In 2010, the BOR elevated its status to an autonomous college.
Orgranizational Chart of UP Cebu
218
References:
Organizational charts were provided by the respondent from UP Cebu.
Organizational Chart of UP Cebu
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Official website of the University of the Philippines Cebu. Retrieved on 15 May 2015 from http:// www.upcebu.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office.
219
Office:
Record Officer in-charge:
Date:
Remarks
1 Relevant organizational structure chart
2 Mission statements for organization and/or department
3 Records management mission statement
4 Records management policy
5Records management procedures / manual used by the records management personnel, including any in-
house training material or details of other training
6 Specifications for automated records management systems for paper records
7 Specifications of records management systems for digital records
8 Retention schedules
9 Access authorizations
10 Accession records
11 Documentation on records destruction or contracted-out services
12 Written specifications for shelving, boxing, and storage facilities
13 Vital records inventory
14 Vital records protection procedures, including recovery in event of disaster
15 Business continuity plan
16 Agreements with any third-party service providers for business continuity services
17 Surrogacy program (digitization or microfilm/fiching ) documentation
18 Staff job descriptions of personnel in-charge of records
Table 1: Checklist of Documentation Required for Records Management Audit
PART I: List of Documentation to be requested from units concerned
NOTE: Please "/" the column after each document if available and "x" if none. You may include a remark for some notation. Please provide the documents together with the accomplished
survey questionnaire. Thank you!
Appendix III-A
Part II: Survey Questionnaire (For Records Managers / Personnel)
Instructions: Please answer the survey questionnaire by either providing your answers or by ticking your answer/s from the listed choices. Thank you.
I. Information about the institution and the records personnel
Name of the office/ department:
Date of establishment: Head of the office/ department: Designation: Objectives and functions of the office:
Size of staff/ No. of employees:
Name of Records Officer / Personnel: Designation and years of service: Educational attainment: Names of other personnel in-charge of records with designation and years of service:
II. List of rules, policies, laws and other regulations observed in records management (please give theagency that issued the regulation).
III. Records1. Do your records meet the requirements and needs of your office?
[ ] Yes [ ] NoPlease explain your answer briefly.
2. Please provide percentages of the records formats your office manages.Paper ___% Electronic ___% Microform ___% Others, please provide.
Appendix III-B
IV. Records Management Tools: Please check the tools you are using in the office[ ] Records classification scheme [ ] Records disposition authority/schedule [ ] Security and Access Classification Scheme [ ] Thesaurus [ ] Index [ ] Allocation of number and code [ ] Glossary of terms or other vocabulary control [ ] Security and access guides [ ] Records inventory and appraisal [ ] Records disposition schedule (RDS) [ ] General Records Disposition Schedule (GRDS) [ ] Records management manual [ ] Retention code based on GRDS and agency’s RDS [ ] File classification guide/scheme for uniform filing system [ ] Requisition and charge-out procedures in issuing files [ ] Other tools, please provide.
V. Records Management Practices:1. Do you have an established Records and Archives Management Program? [ ] Yes [ ] No
2. Do you have manuals of instructions on how to manage your records? [ ] Yes [ ] NoIf yes, please list and describe briefly.
3. Do you have a documentation of the responsibilities of each records personnel? [ ] Yes [ ] No
[ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No
[ ] Yes [ ] No [ ] Yes [ ] No
4. Do you have specific areas/services for the following?Mail OperationsMessengerial ServiceRecords classifiers, indexers and filersStorage areas
5. Do you have:A centralized messengerial service?A centralized releasing and receiving office?A records center? [ ] Yes [ ] No
A. Records Creation / Capture1. What are the types of records created and maintained by the office?[ ] Memoranda [ ] Correspondence files [ ] Financial reports [ ] Minutes of meetings [ ] Speeches [ ] Government publications [ ] Annual reports [ ] Audio-visual materials [ ] Records of research activities done by and for the local government [ ] Photographs [ ] Policy and procedure manuals [ ] Organizational charts or plantilla [ ] Others (please specify)
2. Are there directives issued for controlling the creation of records?[ ] policy on control/issuance number of records[ ] policy on formatting, number of pages, etc.[ ] Others, please describe briefly
222
3. Are outgoing letters and memoranda reviewed and revised prior to their release?[ ] Yes [ ] NoIf Yes, how often and by whom?
4. Do you have uniform prescribed titles for the following administrative issuances?Administrative Order [ ] Yes [ ] No Circular [ ] Yes [ ] No Executive Order [ ] Yes [ ] No Memorandum Order [ ] Yes [ ] No
5. Do you have the following machine records processors?Photocopying (Xerox) Machines [ ] Yes [ ] No Microfilms [ ] Yes [ ] No Computers / Scanners [ ] Yes [ ] No
6. Do you process the records being captured by adding notes on index, access conditions,classification guide, disposition schedule, and other related details? [ ] Yes [ ] NoPlease explain your answer briefly.
7. For electronic records, do you capture the metadata associated with it? [ ] Yes [ ] No
B. Record Registration1. How do you register your records?
[ ] Logbook system [ ] Document Tracking System [ ] Computer-aided system [ ] Others (Please provide)
2. What are the elements you capture to register a record?[ ] Unique identifier or control number [ ] Date and time of registration / receipt [ ] Title or short description [ ] Author, sender, or recipient [ ] Others, please provide.
3. Do you classify the records immediately after registration? [ ] Yes [ ] No
C. ClassificationHow do you classify your records?[ ] By types or forms [ ] By subject or topic [ ] By office or institution [ ] By date or chronology [ ] By geographic grouping [ ] By numeric category (number or code) [ ] Others, please provide.
D. Identification of disposition status1. Do you identify the retention / disposition of the record before filing? [ ] Yes [ ] No
2. How you identify the retention / disposition of the record?[ ] By personal assessment / experience [ ] By set of rules / guidelines approved by the agency[ ] By records disposition schedule (RDS) [ ] Others, pleas provide.
223
E. Storage1. Do you sort and file your record according to its classification (please refer to letter “C”)?
[ ] Yes [ ] No
2. How do you file your records?[ ] With folder and label [ ] Stapled with label [ ] Others, please provide.
3. Where do you store your records?[ ] Steel filing cabinets [ ] Wooden filing cabinets [ ] Shelves / Racks [ ] Boxes [ ] Electronic storage devices (email, PCs, USB, DVD, repositories) [ ] Others, please provide.
4. What is your time lag in the filing of active records?
5. Do you prohibit the filing of non-record materials? (for example: books, magazines, dailynewspapers) [ ] Yes [ ] NoIf yes, how? [ ] Transfer to (what office)
[ ] Dispose (how) [ ] Others, please specify
6. Do you have a filing manual? [ ] Yes [ ] No
7. Do you have a disaster recovery plan for your records? [ ] Yes [ ] No
8. How is the status of your records storage?[ ] Has adequate space [ ] With limited space Please give short description.
9. Does your office use digital storage? [ ] Yes [ ] No [ ] Considering
10. On digital storage, do you have the following in place?[ ] Hardware and software requirements [ ] Backup systems [ ] Maintenance process
11. How ready is your office for future expansion of active records?
F. Use and Tracking1. What control systems or finding aids does the office devise when locating or retrieving records /
documents?[ ] index cards [ ] inventory [ ] compiled guides [ ] computer [ ] knowledge of the files [ ] others, please specify
224
2. What recording system is required by officials in loaning out files?[ ] borrower’s slips [ ] receipt slips [ ] others, please specify
3. What system do you use to track active (referred to other office) records and on loan records?[ ] recall slips [ ] follow up slips[ ] tickler slips [ ] computer-aided file[ ] others, please specify.
4. Who determines whether confidential files may be released?
5. What is the maximum period set for the loan of records?
G. Implementation of Disposition1. Have you inventoried your files for the purpose of determining their retention or disposition? [ ]
Yes [ ] NoIf yes, please describe the results of your inventory.
2. Do you have policies and procedures for the preservation and retention of records?[ ] Yes [ ] No
3. Do you have a schedule being followed to identify what records to retain or dispose, how longthese materials should be retained and how to dispose these records? [ ] Yes [ ] No
4. Which of the following describe your current practices in records retention?(please check all that apply)[ ] retaining information concerning the past and present decisions as part of the institutional
memory and information about decisions and activities in the present and in the future[ ] retaining evidence of the past and present activities to meet accountability obligations[ ] eliminating as early as possible and in an authorized and systematic manner, records which
are no longer required for the operations and activities of the office [ ] retaining the context of the records which will enable future users to judge the authenticity
and reliability, even in cases where records systems in which they are retained have undergone significant changes
[ ] identifying the enforceable or legitimate interest that stakeholders may have in preserving the records for longer than they are required by the office itself
[ ] identifying and assessing legal, financial, political, social, or other positive gains for preserving records to serve the interest of research and the society
5. Have you planned for the systematic disposition of records by:Segregation and disposal of non-record materials(such as books, magazines, etc.)? [ ] Yes [ ] No Segregation and disposal of valueless materials? [ ] Yes [ ] No Transfer of valuable records to a storage area, [ ] Yes [ ] No archives, or depository?
6. Who develops and coordinates these records dispositions plans/schedules?
225
7. How often do you dispose valueless records?
8. Do you identify or list the records to be destroyed? [ ] Yes [ ] No
9. Who gives consent to destroy records?
10. Do you have established guidelines on transfer of custody/ownership of records?[ ] Yes [ ] No
11. What safeguards do you have to avoid unauthorized removal or destruction of records?
12. Do you have policies and procedures for the preservation and restoration of records?[ ] Yes [ ] NoIf yes, please describe briefly.
VI. Monitoring and Audit1. Do supervisors/ heads inspect the conditions of files? [ ] Yes [ ] No
If yes, how often?
2. Do you inventory records? [ ] Yes [ ] NoIf yes, how often?
3. Do you audit your records management practices? [ ] Yes [ ] No If yes, how often?
4. Do you have an existing audit tool for your records management needs? [ ] Yes [ ] No
5. Do you have an existing Records Management Improvement Committee? [ ] Yes [ ] No
VII. Records ProblemsPlease rate each entry from 1 to 5; all may have the same rate.(5 – strongly agree, 4 – agree, 3 – neutral, 2 – disagree, 1 – strongly disagree) 1. Common difficulties experienced in storage and retrieval of records
___ records sought have been lost, destroyed, or misarranged___ records retrieval tools such as inventories, indexes, and lists, are inefficient___ old records are not destroyed at the right time___ there are some hindrances to attaining records___ filing system is not efficient
2. Description of your records management practices?___ The institution's administrative system is operating without problems.___ There are no communication and coordination problems between managers and theirsubordinate staff.___ There are no communication and coordination problems among the staff.___ Administrative and legal regulations are adequate to support the smooth running of thework processes within your working unit.
226
___ The records management system is effective and efficient for formal communication, legal requirements, and decision making in my university.
3. Causes of records problems:___ Managers sometimes do not pay enough attention to our work.___ Ineffective bureaucracy and slow communication channels.___ Inefficiency of the records management system used for form.al communication.___ Retrieval of required records can be problematic.___ Problematic behavior of other workers
VIII. Records Office and Personnel
1. Do you have a records office/records management office in your institution?[ ] Yes [ ] No
If yes, please describe the following: a. Organizational structure of the records office(please use additional sheet if necessary)
b. Functions of the office
c. Staffing and duties
2. Do you have an appointed records officer? [ ] Yes [ ] No
3. How do you view your role in recordkeeping in relation to the overall daily business activitiesof your office?[ ] Very important [ ] Important [ ] Slightly important [ ] Not important
4. How much time do you spend on records issues in the usual workday?[ ] more than 4 hours [ ] 1 to 4 hours[ ] 31-60 minutes [ ] 30 minutes
5. Would you like to have a records center as a centralized area/depository for your semi-activeand inactive records? [ ] Yes [ ] No
6. Do you have plans of establishing a records center as a centralized area/depository for yoursemi-active and inactive records? [ ] Yes [ ] No
227
7. Do you plan / consider having a standard records management program for UP?[ ] Yes [ ] NoPlease explain your answer briefly.
8. Do you have a schedule of training your records/archives officer / staff ?[ ] Yes [ ] No
9. What trainings have your records personnel had? Please provide the dates of trainings.
10. What training (if any) do you feel your records personnel need? Please explain your answerbriefly.
11. Does the institution give support to the records management program?[ ] Yes [ ] NoPlease explain your answer.
12. Are you aware of the punishment under the law for records management related offenses?[ ] Yes [ ] No
IX. Archival Practices1. Do you have an archives office/unit? [ ] Yes [ ] No
2. Do you have a mini archives/storage for your non-current records?[ ] Yes [ ] No
3. Do you have a written policy and guideline/manual on how to handle archival materials?[ ] Yes [ ] No If yes, please provide and describe briefly.
4. Do you have a preservation program of archival records?[ ] Yes [ ] No
5. Who are authorized to access your archival records?[ ] Officials and other employees (including students) [ ] Open to public [ ] Others, please specify
---Toward a OneUP Records Management Program. Thank you for your participation.---
228
Survey Questionnaire on RecordsManagement Practices of UPToward a OneUP Records Management Program. Thank you for your participation.
* Required
Unit *
OP
OSU
UP Diliman
UP Manila
UP Los Baños
UP Visayas
UP Open University
UP Mindanao
UP Baguio
UP Cebu
Are you satisfied on how your office manages your records? *
Yes
No
What are the common problems you encounter in managing your records? *You may choose more than 1 answer.
Missing records
Misrouted records
Difficulty in retrieving/accessing records
Skills of the staff
Other:
Would you like to consider standardizing the records management in your campus? *
Yes
No
How much budget are you willing to commit to improve the records management of your office /campus? *
no limit, will support all efforts to standardize the records management
maximum of P500,000/year
P100,000 to P200,000/year
up to P50,000/year
Not ready to commit financial support
Appendix III-C
https://docs.google.com/forms/d/1RQ_c78I0EIfCkkj9kXZZa9jVScHOpUK6ClPPJWdrY/viewform 1/2
Powered by
Survey questionnaire on the recordsmanagement in UPFor frequent UP records clients
How would you rate the performance of records offices/units in UP?
Outstanding
Very good
Satisfactory
Not satisfactory
Poor
What are the common problems you encounter in dealing with the records units in UP? Youmay choose more than 1.Please share your experience if not listed in the choices below.
Hostile records managers/staff
Absence of a standard practice
Poor records retrieval skills - delay in providing requested records
Other:
Optional: Any suggestion in addressing the records management problems in UP?
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Appendix III-D
OFFICE OF THE PRESIDENTUniversity of the Philippines
17 April 2015
PresidentAlfredo E.PascualUniversity of the Philippines
SUBJECT:Permission to conduct survey and interview in connection with the study entitled "ASample Assessment of Records Management Practices in the University of the PhilippinesToward a Development of a Self-Audit Tool"
.... DearPresident Pascual/Sir,
I am conducting a researchstudy on record management practicesof UP. This is in partial fulfillment ofthe requirements for the degree of Master of Libraryand Information Science(MUS). In thisconnection, may I secureyour authorization / permissionto conduct surveyand interview in OP,OSU,OCsand Dean'sOffice of UPCebuin connection with the above-captioned study?
I needyoufauthorization to accessthe files on the policies/guidelines in managingrecordsof said units.Likewise, I need the help of the recordsofficers/staff in answeringthe attached questionnaire.Interview will also be conducted to supplement the gathered data from the questionnaire.
Additionally, a short questionnaire will be sent out to you and other headsof the respective units.
I hope to get the support of the administration to makethis study a success.There is really the need toreflect on our recordsmanagement practicesto intensify our call for operational excellence.
Thank you very much.
Respectfullyyours,
Ex utive AssistantOffice of the President
Appendix IV
University of the PhilippinesSchool of Library and Information Studies
17 April 2015
President Alfredo E. PascualUniversity of the Philippines
Dear President Pascual:
Greetings!
I am a student of the School of Library and Information Studies, UPDiliman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled itA Sample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. A self-audit tool for UPwill also be proposed at the end of the study.
In this regard, may I be allowed to conduct a survey (through the attached questionnaire) andinterviews in the Office of the President, Officeof the Secretary of the University and the Offices ofthe Chancellors / Office of the Dean, particularly the records office/section of the respective offices.
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
Re elle O.Cornia-Duenas03 05425
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
232
University of the Phili ppinesSchool of Library and Information Studies
17 April 2015
Dr. LilianA. De Las LJagasSecretary of the University and the Board of RegentsUniversity of the Philippines
Dear Secretary De Las LJagas:
Greetings!
I am a student of the School of Library and Information Studies, UPDiliman, taking up Master ofLibrary and Information Science (MUS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. A self-audit tool for UPwill also be proposed at the end of the study.
In this regard, may I be allowed to conduct a survey (through the attached questionnaire) andinterviews in the Office of the Secretary of the University and of the Board of Regents, particularlythe records office/section. It will be appreciated if you could endorse my letter to your recordsofficer/so
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
Rec elle O.Cornia-Duenas03- 5425
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
233
University of the PhilippinesSchool of Library and Information Studies
17 April 2015
Dr. Michael L.TanChancellor, UPDiliman
Dear Chancellor Tan:
Greetings!
I am a student of the School of Library and Information Science, UPDiliman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. A self-audit tool for UPwill also be proposed at the end of the study.
Your campus, being one of the constituents universities of UP,is one of the subject units of myresearch. In this regard, may I be allowed to conduct a survey (through the attached questionnaire)and interviews in your office, particularly the records office/section. It will be appreciated if youcould endorse my letter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
Rec elle O.Cornia-Duenas03- 5425
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
234
University of the PhilippinesSchool of Library and Information Studies
17 April 2015
Dr. Fernando C. Sanchez Jr.Chancellor, UP Los Banos
Dear Chancellor Sanchez:
Greetings!
I am a student of the School of Library and Information Science, UPDiliman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. Aself-audit tool for UPwill also be proposed at the end of the study.
Your campus, being one of the constituents universities of UP,is one of the subject units of myresearch. In this regard, may I be allowed to conduct a survey (through the attached questionnaire)and interviews in your office, particularly the records office/section. It will be appreciated if youcould endorse my letter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
Rec elle O.Cornia-Duenas03- 5425UPDiliman
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
235
University of the PhilippinesSchool of Library and Information Studies
17 April 2015
Dr. Carmencita D.PadillaChancellor, UPManila
Dear Chancellor Padilla:
Greetings!
I am a student of the School of Library and Information Science, UPDiliman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. A self-audit tool for UPwill also be proposed at the end of the study.
Your campus, being one of the constituents universities of UP, is one of the subject units of myresearch. In this regard, may I be allowed to conduct a survey (through the attached questionnaire)and interviews in your office, particularly the records office/section. It will be appreciated if youcould endorse my letter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
Rech~~as03-0~~;~'UPDiliman
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
236
University of the PhilippinesSchool of Library and Information Studies
17 April 2015
Dr. Rommel A. EspinosaChancellor, UPVisayas
Dear Chancellor Espinosa:
Greetings!
I am a student of the School of Library and Information Science, UPDiliman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. Aself-audit tool for UPwill also be proposed at the end of the study.
Your campus, being one of the constituents universities of UP,is one of the subject units of myresearch. In this regard, may I be allowed to conduct a survey (through the attached questionnaire)and interviews in your office, particularly the records office/section. It will be appreciated if youcould endorse my letter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which I will send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
Rec lIe O.Cornia-Duenas03- 425UPDiliman
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
237
University of the PhilippinesSchool of Library and Information Studies
17 April 2015
Dr. Grace J. AlfonsoChancellor, UPOpen University
Dear Chancellor Alfonso:
Greetings!
I am a student of the School of Library and Information Science, UPDiliman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. A self-audit tool for UPwill also be proposed at the end of the study.
Your campus, being one of the constituents universities of UP,is one of the subject units of myresearch. In this regard, may I be allowed to conduct a survey (through the attached questionnaire)and interviews in your office, particularly the records office/section. It will be appreciated if youcould endorse my letter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours, ~
ReCElle O~fias03- 5425UP iliman
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
238
University of the PhilippinesSchool of Library and Information Studies
17 April 2015
Dr. Sylvia B.ConcepcionChancellor, UPMindanao
Dear Chancellor Concepcion:
Greetings!
I am a student of the School of Library and Information Science, UPDiliman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. A self-audit tool for UPwill also be proposed at the end of the study.
Your campus, being one of the constituents universities of UP,is one of the subject units of myresearch. In this regard, may I be allowed to conduct a survey (through the attached questionnaire)and interviews in your office, particularly the records office/section. It will be appreciated if youcould endorse my letter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
Rec elle O.Cornia-Duenas03- 5425UPDiliman
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
239
University of the Phili ppinesSchool of Library and Information Studies
17 April 2015
Dr. Raymundo D.RovillosChancellor, UP Baguio
Dear Chancellor Rovillos:
Greetings!
I am a student of the School of Library and Information Science, UPDillman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. A self-audit tool for UPwill also be proposed at the end of the study.
Your campus, being one of the constituents universities of UP, is one of the subject units of myresearch. In this regard, may I be allowed to conduct a survey (through the attached questionnaire)and interviews in your office, particularly the records office/section. It will be appreciated if youcould endorse my letter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
ReC~iias03-~~~~'UPDiliman
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
240
University of the PhilippinesSchool of Library and Information Studies
17 April 2015
Atty. Liza D.CorroDean, UPCebu
Dear Dean Corro:
Greetings!
I am a student of the School of Library and Information Science, UPDiliman, taking up Master ofLibrary and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment ofRecords Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UPanddetermine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in theuniversity. A self-audit tool for UPwill also be proposed at the end of the study.
Your college, being an autonomous college of UP, is one of the subject units of my research. In thisregard, may I be allowed to conduct a survey (through the attached questionnaire) and interviewsin your office, particularly the records office/section. It will be appreciated if you could endorse myletter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which Iwill send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shallbe used for research purposes only.
Thank you.
Respectfully yours,
Rec elle O.Cornia-Duenas03- 5425UPDiliman
Noted by:
Prof. Benedict S.OlgadoUPSchool of Library and Information Studies
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