COLLEGE OF BUSINESS AND PUBLIC ADMINISTRATION

PUBLIC ADMINISTRATION UNIT

RECORDS AND PROPERTY MGMT

ELECTRPM
 TABLE OF CONTENTS

Module 1: The Field of Records Management

 Introduction: Information Growth
 Records Management
 How does Records Management differ from Document Management
 Benefits of Records Management
 Records Classification
 Classification by Use
 Classification by Place of Use
 Classification by Value of the Record to the Organization
 Establishing a Policy Framework
 Policy and Governance Framework of Records Management
 Regulatory References
 ISO 9001:2008, “Quality Management Systems-Requirements”,
International Organization for Standardization (ISO), Nov., 2008.
 ISO 15489:2016, “Information and Documentation – Records
Management”, International Organization for Standardization (ISO).
 ISO 5127:2017, Information and Documentation – Vocabulary
 ISO 14001:2015, Environmental Management Systems –
Specification with guidance for use.
 International Council of Archives (ICA)
 Statutory References
 Republic Act No. 9470, National Archives of the Philippines Act of 2007
 Republic Act No. 10066, National Cultural Heritage Act of 2009
 National Archives of the Philippines (NAP)
 Republic Act No. 8792, Electronic Commerce Act

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 2
ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 3
  Local Government Code of 1991, Sec. 374. Establishing of an
Archival System

Module 2: Electronic Records Management – Key Concepts

 Definition of Government Records
 Qualities of a Records
 Importance of Identifying Vital Records
 Electronics Records: Challenges and Needs
 Hybrid Records Management Environment
 Electronic Recordkeeping System and its Benefits
 Information Technology Requirements
 Trends in Electronics Records Management and Info Management

Module 3: Records and Archives Management Program

 Records Management Chain (Life Cycle of Records)
 Common Problems in Records System
 Security of Records
 Significance of Records Security
 Security Requirements
 Hazards to the Security of Records
 Preservation
 Understanding and Responding to Hazards
 Supplemental Security Chain
 Factors in Determining the Existence of a Reasonable Doubt on the Loyalty
or Integrity of an Employee

Module 4: Records Creation and Control

 Concepts/Guides in the Control of Creating Records
 Major Fields in Records Creation
 Directives/Instructions Management

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 4
  Correspondence Management
 Forms Management
 Report Management

Module 5: Files Management

 Files Management Defined
 Important of Files
 Organizing Files
 Major Operations of Files Management
 Kinds of Filing System

Module 6: Records Retention and Disposition

 Records Storage, Inventory and Retention Program
 Records Disposition Programs
 Objectives and Requisites of a Records Disposition Program
 Benefits of a Records Disposition Program
 Activities in Records Disposition Program

Module 7: Basic Principles in Property Management

 Overview
 General Principles
 Legal Framework
 Property Management

Module 8: Acquisition of Government Property

 Procurement
 General Procedures in Procurement
 Procurement of Common-Use Supplies, Materials and
Equipment through DBM-Procurement Service

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 5
  Procurement Through Competitive Bidding
 Procurement Through Alternative Modes
 Other Modes of Acquisition

Module 9: Utilization of Government Property

 Overview
 Custodianship
 Accountability, Responsibility and Liability for Government Property
 Bonding of Accountable Officers
 Inventory Taking
 Insurance of Government Property
 Loss of Government Property
 Procedure/Requirements for Relief from Accountability
 Delivery, Inspection and Acceptance
 Storage, Warehousing and Inventory-Taking
 Issuance and Utilization
 Utilization of Common Facilities and Equipment

Module 10: Disposal of Government Property

 Overview and Basic Concepts
 Definition of Terms
 Factors, General Procedures and Modes of Disposal
 Property under Distraint/Levy/Garnishment
 General Procedures on Disposal
 Modes of Disposal
 Composition of Disposal Committee
 Property Appraisal
 Preliminary Documentation
 Inspection Process

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 6
  Depreciation for Property/Equipment
 Reference Price Information in Appraisal
 Guidelines and Principles in the Determination of the
Appraised Value
 Guidelines in Observing Conditions of Property
 Formula on Appraisal of Government Property except Real
Property
 When Property is Still Operational, Functional or can be Repaired
 Adjustment of Appraised Value when Auction Bids are Low
 Setting of Minimum Value

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 7
 TARGET LEARNING OUTCOMES
This module emphasizes the importance of the study and
application of records management systems and its importance and
benefits to different organizations. Students are expected to be able to:

1. Discuss the challenges of the information explosion to records managers;

2. Distinguish Records Management from Document Management;
3. Describe the importance and benefits of records management to an
organization;
4. Describe how records are classified and used; and
5. Discuss relevant legislation that affects records management.

INTRODUCTION: Information Growth

T oday’s workers are increasing their use of information.

This time in our history is frequently
called the Information Age. Computers, so much a part of
today’s world, play a key role in information systems and the
development of a knowledge-based economy.

Did you know that the amount of new information in the world has almost tripled in the past three
years? Think of how much new information is generated and transmitted every day in newspapers,
on radio and television, through the Internet via electronic mail, wikis, tweeting, webinars, video
blogs or podcasts, social media sites, and through text messaging and phone calls. It is hard to
quantify how much information comes and goes from all the listed sources! You could say that the
world is in the middle of an information explosion in the Information Age.

The proliferation of information, recent legislation, and storage of information all contribute to a
growing problem for individuals, organizations, institutions, government, businesses,

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 8
and countries: How is information managed to meet the needs of the people who need it? With so
much information produced daily, how is specific information accessed when needed? Records
and information management involves organizing information for retrieval.

LESSON 1: Records Management

Management is the process of using an organization’s resources to achieve specific goals through
the functions of planning, organizing, leading, and controlling. Information is an important and
valuable business resource. To survive, businesses and organizations must have up-to-date
information in the right form, at the right time, and in the right place to make management
decisions.

Records Management is the systematic control of all

records from their creation or receipt, through their
processing, distribution, organization, storage, and
retrieval, to their ultimate disposition. Because
information is such an important resource to
organizations, the
records management function also includes information management. Therefore, records
management is also known as records and information management (RIM).

The ISO-14589 definition for Records Management is as follows: "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 the processes for capturing and
maintaining evidence of and information about business activities/ service delivery and transactions
in the form of records."

While Records Management is a vital tool for companies and government to address governance,
compliance, and retention requirements, the benefits of Records Management go beyond
government regulations. For example, the use of Records

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 9
Management improves a company's/organizations overall data management processes,
particularly in the areas of data security and data access.

Records management is not new. Records

management has been taking place in organizations
for many years. In recent years, the tragedies of the
war on Autonomous in Muslim Mindanao Region and
different natural disasters strikes in our country have
affected the profession of records and information
management. These events have forced senior managers in corporate businesses in the
Philippines and the national and local government units to reconsider how information and records
management processes should be updated and improved.

The National Archives of the Philippines (NAP),

complies in the International Organization for
Standardization (ISO). The ISO is a worldwide
federation of national
standards organizations. ISO 15489 is a standard for records management policies and
procedures. The purpose of this standard is to ensure that appropriate attention and protection
applies to all records, and that the evidence and information they contain can be retrieved
efficiently and effectively using standard practices and procedures. International standards help the
records management function of an organization clarify its purpose and prove its value by
managing important information.

Traditional records management is being transformed because of changes in technology. Records

management is also affected by legislation related to how oganizations must operate and keep
records. This module deals with records in organizations; however, the principles you learn should
also help you understand how to use records efficiently in other types of organizations and in your
personal life.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 10
Records

The term record has a specific meaning in

records management. ARMA
International (an association for information
management professionals) defines a record
as stored information, regardless of media or
characteristics, made or received by an
organization that
is evidence of its operations and has value requiring its retention for a specific period of time.

ISO 15489 defines a record as 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.

According to Republic Act No. 9470 (National Archives of the Philippines Act of 2007), record
refers to information, whether in its original form or otherwise, including documents, signatures,
seals, texts, images, sounds, speeches, or data compiled, recorded, or stored, as the case may
be:

1) In written form or any material;

2) On film, negative, tape or other medium so as to be capable of being reproduced; or
3) By means of any recording device or process, computer or other electronic device or process.

The International Council on Archives (ICA) cited that record is a recorded information produced or
received in the initiation, conduct or completion of an institutional or individual activity and that
comprises content, context and structure sufficient to provide evidence of the activity.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 11
LESSON 2: How does Records Management differ from Document Management

Records are really a special kind of document and often a record begins its 'life' as a standard
document. At some point, the document gets declared to be a record and thereafter takes on the
special behaviors of a record. The relationships and differences between documents and records
are summarized in the following table:

Document Management Records Management

Records are a special kind of document. Like
documents, records can be structured or
A Document is stored information that contains unstructured data. Records can also have
structured and unstructured data. Documents metadata. Records contain information that is
Stored
are often associated with metadata; a set of used for making business decisions. Lifecycle
Objects
properties or attributes that further describe or instructions get assigned to records that
summarize document content. describe how long the record should be stored
and how to dispose of the record at the end of
the lifecycle.
Records are generally static and are not
Static versus Documents can be very dynamic and support
intended to be altered unless and until the
Dynamic frequent revisions and updates. lifecycle of the record indicates that they need to
be superseded.
Records Management is very strict in specifying
Object Most Document Management systems have
the security of records—who can declare and
Security capabilities for security and privileges, but it isn't
access records, and who can approve final
strictly required.
record disposition.
Auditability plays a key part in Records
Document Management Systems provide audit
Management. This involves being able to see
Auditability capability to show the complete history of
where records are in their lifecycle and who has
changes made by the authors of a document.
accessed and modified them.
Document Management software focuses on Record Management software is
Management
searching and retrieving document content. complementary to Document Management.
Software
Document Management systems control the Once a document is declared to be a record, the

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 12
 creation of document versions and support the RM system will ensure that the record is not
locking of documents checked-out for revisions. altered. Records are filed or categorized based on
a file plan. Records are then disposed of at the
end of the record's life, based on the record
disposition schedule.
The record disposition schedules are the
Workflows direct how documents flow through
instructions for a record lifecycle and are a
the organization and how users within the
Workflow special kind of workflow that is associated with a
organization act on the data contained in the
record. Compared to document workflow, record
document.
workflow is typically much simpler, usually
involving just a few steps.
Document Management systems don't have The destruction of records is usually regulated
Object
strict requirements about when documents by laws. National agencies often transfer records
Disposal should be deleted and often no documents are to be permanently archived to NAP, the National
ever deleted. Archives of the Philippines.

LESSON 3: Benefits of Records Management

Records Management provides the following benefits to organizations:

 Legal Compliance
 Accountability
 Preservation of assets
 Efficiency
 Preparedness
 Security
 Good business

Records Management is about complying with legal requirements Records Management is an

important support tool that enables organizations to comply with legal requirements. One of the
most compelling reasons for adopting a Records Management system is to be able to produce
evidence relative to litigation brought against an organization in a timely manner. Electronic
Records Management can do just

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 13
ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 14
that. It can be used to quickly search and find the evidence that can help to either prove or
disprove compliance with regulations or to supply information relevant to e-discovery requests.

Unfortunately, almost all companies and organizations will need to defend themselves against
lawsuits at some point in time. It may seem hard to factor potential litigation into the Return on
Investment (ROI) calculation for Records Management when there is no immediate litigation
pending, but it is usually too late to implement a Records Management system once faced with a
lawsuit.

Regulatory compliance
Regulatory compliance has continually been ranked as a very high priority for both business and
IT. In the last decade, organizations have come under an increasing number of local, national, and
industry regulations. The regulatory landscape is constantly changing with regulations being added,
rewritten, or retired.

Organizations are also often bound by compliance issues relative to internal business practices
and corporate governance. Typically, any process, at some point, may need to be documented or
audited to ensure that the correct operation falls in the realm of internal compliance. This might
include, for example, documenting and enforcing standard operating procedures or documenting
processes like those in accounts payable or with the steps of a hiring process. Corporate
governance and compliance is relevant for any department within an organization like finance,
engineering, IT, sales, and marketing.

Often, regulations don't specifically require the use of Records Management software for
compliance, but in order to cost-effectively satisfy the need for creating the audit trails requested by
regulations, an automated system for Records Management almost becomes mandatory.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 15
Authority Documents and compliance
Organizations are required to comply with numerous types of regulations, guidelines, policies,
procedures, principles, and best practices. The documents in which the requirements for these
many different types of compliance are written are called "Authority Documents".

It is not uncommon for certain types of records to fall under multiple authorities. Sometimes, even
the policies suggested by two relevant Authority Documents will conflict. Typically, the conflict is
with the length of the document retention period. In those cases, the longer of the two specified
retention periods is typically used. But it is important to document the reasoning used in compiling
the retention policies that you ultimately implement.

Without knowing what Authority Document requirements your organization is bound by, it isn't
possible to fully set up and configure your Records Management System. You'll need to do some
research. Exactly which Authority Documents your organization will need to comply with will
depend on your type of business or operation. One of the first steps that you will need to do in
setting up your Records Management system will be to find out which Authority Documents your
organization is affected by.

Once you know which Authority Documents you are targeting to support your Records
Management system, you will then need to map the requirements from those authorities back to
the types of records that you will be storing. Many of the requirements from the Authority
Documents will be realized by implementing them as steps of the disposition lifecycle schedule for
the appropriately affected records.

E-discovery
In addition to regulatory compliance, Records Management is an important legal component of e-
discovery. E-discovery is the process in civil and criminal litigation where electronic data is
requested, searched, and produced for use as evidence.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 16
There are similarities and even overlaps in the compliance and e-discovery processes. Often
records are asked to be produced as evidence of regulatory compliance. Like compliance, failure to
respond in a timely way to an e-discovery request can have significant consequences that include
fines, monetary sanctions, and criminal penalties. In cases where records should have been
preserved but which cannot be produced, the jury can be instructed that it is likely there was
something bad to hide.

Often when an e-discovery request catches an organization totally unprepared, the organization is
forced to respond reactively. A better and more pre-emptive approach is to be proactively prepared
for any type of request that may come in. Being prepared allows you to reduce your risks and your
ultimate costs. Having information and evidence in hand early on can give you time to review and
understand your situation from the contents of the data. This allows you to be prepared for, and be
able to appropriately defend yourself, if and when needed. A Records Management system can
help you to be prepared.

Records Management is about ensuring accountability

Records Management is a powerful tool for providing accountability and transparency. Records
contain the historical details and reasoning behind why certain policies and decisions were made.
Records can prove that an organization acted responsibly and with good intent (or not).

But for records to be accepted, they must be trustworthy and believable. They must be accurate
and complete. They must be verifiable. Good Records Management systems, practices, and
processes are the vital elements that can ensure that records are trustworthy.

When speaking about accountability and transparency in government, former

President Benigno Aquino III declared that "The Government should be
transparent. Transparency promotes accountability and provides

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 17
 information for citizens about what their Government is doing. Information maintained by
the National Government is a national asset".

But while accountability is something that is often spoken of relative to national and local
government units, accountability is a concept that is not limited to just governments. Governments
are accountable to their citizens. Non-government organizations are accountable to their members,
their employees, their customers, their communities, and their environments.

Accountability mandates that organizations keep accurate records that can later be reviewed,
accessed, and analyzed by individuals inside the organization, and sometimes external to it.

Records Management is about preserving assets

At the heart of Records Management is the idea that records are retained and preserved to ensure
that information is available for continued use and reuse. The required retention time for records
varies widely. While the majority of records typically have only short-term value and are ultimately
destroyed, most organizations also have a category of records, often representing a fairly large
fraction of their total number, that need to be retained and preserved for long-term financial,
historical, or cultural reasons. This category of records often needs special consideration to ensure
that records will remain usable for long periods of time.

Electronic Records Management (ERM) offers clear benefits over paper-based record systems.
The process automation capabilities of ERM make the capturing and ingestion of record data fast
and efficient. ERM records can be searched and we can retrieve orders of magnitude more quickly
than with paper systems, and backups or copies of the electronic data can be made easily so that
data can be safely stored in off-site locations. Because of these benefits, organizations are
increasingly abandoning paper and turning towards the digital storage of their information.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 18
While ERM can offer impressive benefits in terms of efficiencies and cost savings, digital assets
themselves can be quite fragile, if not properly maintained. Two main areas of concern about
preservation of digital assets are the long-term viability of the storage media and the data formats
used to store the records.

Magnetic and Optical storage devices are surprisingly short-lived. Both types of media are subject
to bit rot, the process where bits become corrupted because they lose their magnetic orientation, or
the disk material itself breaks down. Hard drives, for example, have only a three to six-year lifespan
expectancy. Magnetic tapes are expected to last ten to twenty years, and the lifespan of CD-ROMs
and DVD-ROMs is in the range of 10 to 100 years.

Properly maintained, despite being extremely fragile, some paper has been able to last for
thousands of years, and no doubt with the right amount of scientific research, proper attention, and
careful handling, the lifespan of digital media could be extended to go beyond the current expected
lengths. Both paper and disks tend to do better in cool, dark environments with low humidity. But it
should be a given that the lifespan of storage devices will be relatively short.

As ERM systems have centralized storage, storage media degradation for ERM systems isn't really
an issue. Because all data is stored centrally, rather than needing to examine and treat the storage
media of each asset as a special case, the storage and management of all records can be treated
holistically.

However, Records Management systems aren't static. As time passes, ERM systems will obviously
evolve. Records Management systems will be upgraded, hopefully on a regular basis, and data
and records will be migrated to newer storage hardware and improved ERM software. Data
migrations performed in support of regular maintenance and upgrades won't always be trivial, but
with careful planning, the work involved to migrate records to new software and hardware should
be straightforward.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 19
So from a data preservation level, the worry is not so great that records stored in actively
maintained and regularly backed-up Records Management systems would somehow be lost
because of degradation of storage media. The real worry is whether the format that digital assets
are stored in can continue to be readable.

Data file formats change very rapidly. With some software products, every new release may involve
changes to the format in which the data is stored. Without the proper software reader to read a
digital asset, the stored data becomes, in effect, useless. A common solution to reduce the size of
this problem is to limit or convert the formats of data being stored to a small set of stable core data
types. This is an important problem to be aware of when designing and planning for a Records
Management systems that requires long- term record preservation.

Records Management is about efficiency

Keeping records for a period past the necessary retention period results in inefficiencies. Storing
expired documents simply takes up space and clogs up the Records Management system.

When records are kept longer than needed, those outdated records can be unnecessarily
considered during the discovery process. When performing e-discovery key-word searches,
outdated documents can be returned as possible search candidate matches, even though they are
no longer relevant.

For example, consider an e-discovery request made to the chemical company DuPont, a
U.S. based company. To respond to the request, the company found that it was necessary to
review 75 million pages of text over a period of three years. At the end of the
e-discovery, they realized that more than half of the documents they examined were outdated and
past their retention period. If Records Management guidelines had been applied prior to the
discovery, outdated documents would have been properly disposed of, and the discovery process
could have been performed much more efficiently. That could have saved DuPont $12 million.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 20
In this example, greater efficiency could have been achieved by eliminating obsolete records, thus
minimizing the volumes of data examined during e-discovery. Eliminating obsolete records also
reduces the legal risks that could result from obsolete content that may have been in those
records.

Having a Records Management system in place prior to an e-discovery request can be an

insurance policy that could ultimately save you many times over the cost of the system itself.

Records Management is about being prepared

Records Management is about being prepared, being prepared for the unexpected. No one can
see the future, but disasters do happen, and unfortunately, on an all too regular basis.

On the morning of September 11, 2001, terrorists crashed airliners into each of the Twin Towers of
the World Trade Center in New York City. The death toll that day was nearly 3000 people. The
destruction was in the billions of dollars and the event seriously impacted the economy in New
York City and affected the psyche of nearly every citizen in the United States. Lives and
businesses were disrupted and changed.

One business directly affected by this disaster is the law firm of Sidley Austin Brown & Wood LLP
(SAB&W), which occupied the fifth fourth to the fifty ninth floors of the North Tower. While 600
SAB&W employees worked in the Trade Center offices, the firm suffered only a single death that
day. Unfortunately, all physical assets at the location were lost.

Luckily SAB&W was prepared. The firm had a solid disaster recovery plan and within hours after
the disaster, the plan was in full effect. By making use of vital records maintained offsite that
included information about floor plans, personnel locations, procedures, clients, and vendors, the
firm was able to spring into action. The vital records

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 21
that they had access to included important insurance records. From these records, they were
quickly able to determine that their total loss would be fully covered by their insurance and they
were also able to quickly start the processing of their insurance payout.

Based on personnel records, an intensive search was immediately initiated to locate all employees
from that location. A new office space of similar size was leased at another location in New York
City hours after the event. Computers, networking equipment, and furniture were purchased.

Backup tapes kept in Chicago of e-mails and other data from the New York office were identified.
Within three days, e-mail and voice mail were fully restored. On the fourth day, the document
management system was available again and temporary office space was being set up. Somewhat
unbelievably, within only one week, SAB&W was back up and running and in reasonable
operational shape.

The widespread loss and damage to documentation and records was a major tragedy of the Super
Typhoon Yolanda disaster, and much of the damage was as a result of the heavy reliance on the
use of paper records. It is another reminder that disasters like floods, fires, volcanic eruptions,
tornados, and typhoons come with little warning and can bring about devastating results. The
previous largest disaster prior to Yolanda for losing historical documents happened in Florence,
Italy in 1966 due to flooding.

In the case of Super Typhoon Yolanda, the loss or damage of records wasn't limited to individuals;
institutions and government agencies were heavily affected too. Historical treaties and photographs
were destroyed. Vital records of all kinds were affected by Yolanda that included medical records,
school records, law enforcement records, birth records, and marriage and driver's licenses.

After documents come into contact with water or moisture, it takes only 48 hours before mold starts
growing, and after that, the deterioration of paper documents accelerates

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 22
quickly. The flood waters in many areas hit by Yolanda were several feet high (storm surge),
forcing many residents to evacuate and leave behind their belongings, only being allowed to come
back into the area many days later. But by that time, for many documents that were damaged, it
was too late.

Disasters are good teachers. After the event, creating and maintaining a disaster recovery plan
immediately became a top priority for other organization and institution. They invested in Document
Imaging and Records Management software, and after seeing firsthand what could happen when
planning and preparation for worst-case scenarios aren't done, they did not want to see a repeat
episode.

Whether they are man-made or natural, disasters happen. Preparation and planning are key for
being able to successfully cope with disasters.

Records Management is about coming to grips with data volumes

The volume of data within organizations is growing at a phenomenal rate. In fact, International
Data Corporation (IDC), a research and analyst group, estimates that the volume of digital data is
doubling every 18 months. And that growth is having a huge impact on organizational IT budgets.
For example, if we assume that the average employee generates 10 gigabytes of data per year,
and storage and backup costs are
₱250 per gigabyte, a company with 5000 employees would pay ₱62.5 million for five years of
storage.

The goal of Records Management is to allow

organizations to cut back on what information
must be retained. Organizations with no
Records Management policies in place have
no clear guidelines for what documents to
save and what documents to discard. The end result is that these organizations typically save
everything.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 23
And we've seen, trying to save everything comes at a steep cost. Keeping records that should have
been destroyed earlier means that more storage space is required. It means that backup times are
longer. It means that data searches are slower because there is more information to search. It
means that people's time gets wasted when irrelevant records turn up in search results. Records
Management helps clear the clutter and bring greater efficiency.

Records Management isn't going to be able to put a stop to the general upward trend of creating
and storing more information, but by strictly following Records Management retention schedules,
organizations should be able to significantly reduce the volume of data that they do keep.

Records Management is about security

The security of records is an important issue and the responsibility of the Records Management
system. This is one area where an Electronic Records Management (ERM) system really shines
when compared to manual methods for managing records.

A major advantage of ERM is that the application of security and access controls over electronic
records and folders is much easier to implement and can be applied in a much more granular way
than over physical folders and records.

Records stored on paper and other non-electronic media are very hard to tightly secure, especially
when the requirements for access control become even moderately complex. Physical records
require that filing cabinets and storage locations be appropriately secured. They typically need to
be controlled and managed by trusted records staffs. Physical Records Management requires far
greater day-to-day supervision by people and, because of that, is subject to many more points of
potential security lapses than with an automated system.

That is not to say that the physical security of the computer hardware used to run the Records
Management system is not important.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 24
With ERM, access rights can be changed or revoked, as needed, protecting records from
unauthorized users. The system is able to validate that the data managed is accurate and
authentic. An ERM system can also provide an audit trail of all activities for all records and thus
demonstrate compliance.

Records Management is about good business

Regulations usually contain detailed instructions about how records should be handled, but often
the regulations don't actually mandate that a formal Records Management system be used. But
really, what's the alternative?

Not having a Records Management program at all is a recipe for problems, if not disaster. Without
a Records Management system in place, tracking down the records that document policies,
procedures, transactions, and decisions of an organization becomes extremely difficult or next to
impossible.

We've discussed how Records Management can enable important business benefits like
accountability, compliance, efficiency, and security. Taken as a whole, these benefits are really the
characteristics of doing good business. And at its very essence, that's what Records Management
is all about.

LESSON 4: Records Classification

Common records, such as correspondence (letters and memos), reports, forms, and books, can
appear on paper, on optical or digital storage media, or on an organization’s intranet pages. An
organization may receive records through regular mail, electronic mail, facsimile machines (fax),
special couriers, or by accessing computer networks including the Internet and organizations
intranets.

Other types of records to consider are oral records that capture the human voice and are stored on
cassettes and other magnetic media. Records also are stored on film, CDs,

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 25
DVDs, videotapes, photographs, USB, external drive, and microfilm. Records are valuable
property, or resources, of an organization or firm; and, like all other resources, they must be
managed properly.

Usually, records are classified in three basic ways: (1) by the type of use, (2) by the place where
they are used, and (3) by the value of the records to the organization or firm as listed in Figure 4.1.

Figure 4.1. Records Classifications

Classifications Examples
Use  Transaction documents
 Reference documents
Place of Use  External records
 Internal records
Value of Record  Vital records
 Important records
 Useful records
 Nonessential records

Classification by Use
Classification according to records use includes transaction documents and reference documents.
A transaction document is a record used in an organization’s day-to-day operations. These
documents consist primarily of business forms which can be created manually, electronically, or
generated Place of Use via e-commerce systems on the Internet. Examples are invoices,
requisitions, purchase and sales orders, bank checks, statements, contracts, shipping documents,
and personnel records such as employment applications, time sheets, and attendance reports.

A reference document, on the other hand, contains information needed to carry on the operations
of a fi rm over long periods. These records are referenced for information about previous decisions,
quotations on items to purchase, statements of administrative policy, and plans for running the
organization. Common reference documents, the most frequently used category of records
maintained in an office, are business letters, reports,

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 26
and interoffice e-mail. Other examples include catalogs, price lists, brochures, and pamphlets.

Classification by Place of Use

Classification by place of use of the records refers to external and internal records. An external
record is created for use outside an organization. Examples of such records are letters, faxes, or
e-mail sent to a customer, client, supplier, or to the various branches of the government.

Internal records are a larger group of records classified by their place of use. An internal record
contains information needed to operate an organization. Such a record may be created inside or
outside an organization. Many internal records are created through the use of e-commerce
systems using databases and web server applications. Examples are communications between an
organization and its employees (payroll records, bulletins, newsletters, and government
regulations) and communications among an organization’s departments (inventory control records,
interoffice memos or e-mail, purchase requisitions, and reports).

Classification by Value of the Record to the Organization

From an inventory and analysis of the use of each major record category, a manager determines
the value of the record to the organization. This evaluation is used to develop a records retention
schedule specifying how long to keep the records in an organization. Recent legislation makes
records retention of critical importance.

Some records are so valuable to an organization that they require special measures of protection.
Each record maintained by an organization falls into one of four categories used to determine how
records should be retained and the level of protection they require. These categories are vital
records, important records, useful records, and nonessential records as shown in Figure 4.2

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 27
Figure 4.2. Records Categories
Category Examples
Vital Records Legal papers, articles of incorporation, titles of
 Necessary for the continuing operation organization property, reports to shareholders
 Usually not replaceable
 Highest degree of protection necessary
Important Records Personnel records, sales records, financial and
 Assist in performing business operations tax records, selected correspondence and
 Usually replaceable but at great cost reports, contracts
 High degree of protection necessary
Useful Records General correspondence and bank
 Helpful in conducting business operations statements
 Usually replaceable at slight cost
 Low to medium degree of protection
Nonessential Records Announcements and bulletins to employees,
 Records have no predictable value after their initial use acknowledgments and routine telephone/e-
 Lowest degree of protection mail messages

Figure 4.3. Record Values and Types

Value and Record Type Examples
Administrative  Policy and procedures manuals
Records that help employees perform office  Handbooks
operations  Organizations charts
 Tax returns
Fiscal records used to document operating funds and other  Records of financial transactions: purchase and
financial processes sales orders, invoices, balance sheets, and
income statements
 Custodianship or Acknowledgement Receipt of
Equipment
Legal  Contracts
Records that provide evidence of business  Financial agreements that are legally binding
transactions  Deeds to property owned
 Articles of incorporation
Historical  Minutes of meetings
Records that document the organization’s operations and  Corporate charter
major shifts of direction over the years  Public relations documents
 Information on corporate officers

Why Records Are Used

Records serve as the memory of an organization/business. They document the information
needed for complying with regulations and the transactions of an

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 28
organization. For example, management policies are developed and recorded to furnish broad
guidelines for operating a business. Each department (for example, Security, Finance, Marketing,
Accounting, Procurement, Property Management, and Human Resources) bases its entire method
of operations upon records. Usually, records are used and retained because they have
administrative, legal, or historical values to an organization. Policy manuals and handbooks are
examples of records that have administrative value. Contracts and deeds are documents that have
legal value to an organization. Minutes of meetings have historical value. More examples of
records and their values to the organization are shown in Figure 4.3.

LESSON 5: Establishing a Policy Framework

Strategic planning gives everyone in the

institution a clear foundation for their work,
making them feel they are all striving for the
same goal. But whether an archival
institution or records management office
defines a new direction for the future or
continues to
pursue existing priorities, the institution should be governed by a strong policy framework.
Establishing policies and procedures is essential to consistent archival practice, whether the
institution is corporate or community based, staffed by 800 employees or one volunteer.

A first requirement is that the institution must be conceived as a permanent facility. Archival
institutions or records management office are ongoing operations, not special projects or time-
limited initiatives. A closet stuffed with boxes of records is not an archival facility, any more than a
shelf full of books is a library or a garage full of car parts is a museum. Even a digital repository for
electronic records care needs a stable physical and administrative environment.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 29
All archival institutions should have the authority to take physical and legal custody or control of
archives/records and associated materials; dispose of unwanted materials; store archives safely;
arrange, describe and preserve them according to archival/ record standards and guidelines; and
provide equitable access. If the institution also has wider information and records management
duties, those responsibilities also need to be clearly articulated and adequately resourced.

Identifying areas requiring policies

All major archival tasks should be guided by formal policies, which need to take into account not
only the institution’s needs and priorities but also those of its sponsor agency and the wider society
in which that agency operates. Policies must also respect the legal and regulatory requirements in
the jurisdiction. Laws affecting the management of archives may relate to:
 copyright and intellectual property
 access to information
 protection of personal privacy
 admissibility of evidence
 data protection and information security
 heritage or cultural property management
 criminal acts
 employment and labor relations
 taxation and financial management

The archivist/records officer/records manager in even the smallest and most informal facilities must
understand the extent of the regulatory regime in which he/she works. Even the simplest of
archival/records decisions, such as publishing a photograph on a website, can have legal
repercussions if copyright is not respected. In keeping with the principle ignorantia juris non
excusat – ‘ignorance of the law is not an excuse’ the archivist/records officer/records manager will
not be forgiven easily if she acts unlawfully, even if he/she claims that he/she did not fully
understand the law.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 30
 LESSON 6: Policy and Governance Framework of Records Management

As the number of records increases dramatically, legislation to balance and protect an individual’s
right to privacy, the public’s access to information, and the quest for national security also
increases. When individuals’ rights to privacy have been violated, the public’s access to information
denied, or the national security has been breached, steps need to be taken to protect these three
important rights in a democratic society. These three rights are kept in balance by legislation.

As organizations rely increasingly on information stored on a variety of media, records managers

must be certain that their companies’ recordkeeping systems are legally acceptable to
governmental agencies and courts of law. Compliance issues are a concern to many organizations.
Records management professionals are working together in organizations to optimize the
effectiveness of records and information management to their organizations.

ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO
collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 31
Regulatory References

ISO 9001:2008, “Quality Management Systems-Requirements”,

International Organization for Standardization (ISO), Nov., 2008. Specifies
requirements for a quality management system where an organization:

 needs to demonstrate its ability to consistently provide product that meets customer and
applicable statutory and regulatory requirements, and
 aims to enhance customer satisfaction through the effective application of the system,
including processes for continual improvement of the system and the assurance of
conformity to customer and applicable statutory and regulatory requirements.

ISO 15489:2016, “Information and Documentation – Records

Management”, International Organization for Standardization (ISO), Nov.,
2016. It is an international standard that specifies high-level best practices
around Records Management. It was designed to help businesses and
other organizations to manage their records to keep them reliable and up-
to-date. Records are kept in all types of environment, government and
business, and are no longer just physical items.

It establishes the core concepts and principles for the creation, capture and management of
records. The Standard applies to records regardless of structure or form, in all types of business
and technological environments, and over time. It includes core concepts and principles for:
 records, records systems and metadata for records;
 policies, assigned responsibilities, monitoring and training supporting the effective
management of records;

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 32
  recurrent analysis of business context and the identification of records
requirements;
 records controls; and
 processes for creating, capturing and managing records.

ISO 5127:2017: Information and Documentation, provides a concept

system and general vocabulary for the field of documentation within the
whole information field. It has been created with a balanced
representation of major work areas in mind: documentation, libraries,
archives, media, museums,
records management, conservation as well as legal aspects of documentation. The scope of the
vocabulary provided in this document corresponds to that of ISO/TC 46: standardization of
practices relating to libraries, documentation and information centers, publishing, archives, records
management, museum documentation, indexing and abstracting services, and information science.

ISO 14001:2015, Environmental Management Systems – Specification

with guidance for use. It specifies the requirements for an environmental
management system that an organization can use to enhance its
environmental performance. ISO 14001:2015 is intended for use by an
organization seeking to manage its environmental responsibilities in a
systematic manner that contributes to the environmental pillar of
sustainability.

It helps an organization achieve the intended outcomes of its environmental management system,
which provide value for the environment, the organization itself and interested parties. Consistent
with the organization's environmental policy, the intended outcomes of an environmental
management system include:
 enhancement of environmental performance;
 fulfilment of compliance obligations;
 achievement of environmental objectives.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 33
International Council of Archives (ICA) is dedicated to the
effective management of records and the preservation, care
and use of the world's archival heritage through its
representation of records and archive professionals across
the globe.

Statutory References

Republic Act No. 9470, National Archives of the Philippines Act of 2007 is an act to strengthen
the system of management and administration of archival records, establishing for the purpose the
National Archives of the Philippines, and for other purposes.

The Act shall cover all public records with archival value, held by either government offices or
private collections, and shall also cover archival and records management programs and activities
in all branches of government, whether national or local, constitutional offices, GOCCs,
government financial institutions, state universities and colleges, Philippine embassies, consulates
and other Philippine offices abroad.

R.A 9470 covers the records management and archives administration as part of the programs and
activities of government offices.

Republic Act No. 10066, National Cultural Heritage Act of 2009 is an act providing for the
protection and conservation of the National Cultural Heritage, strengthening the National for
Culture and the Arts (NCCA) and its affiliated cultural agencies, and for other purposes.

National Archives of the Philippines (NAP) is a national government agency attached to the
National Commission for Culture and the Arts (NCCA), responsible for the implementation of the
objectives and provisions of Republic Act. 9470. It is also the official repository of public records
and archives where they are preserved, conserved and made available to the public.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 34
Republic Act No. 8792, Electronic Commerce Act provides the recognition and use of electronic
commercial and non-commercial transactions, penalties for unlawful use thereof, and other
purposes.

This Act aims to facilitate domestic and international dealings, transactions, arrangements,
agreements, contracts and exchanges and storage of information through the utilization of
electronic, optical and similar medium, mode, instrumentality and technology to recognize the
authenticity and reliability of electronic data messages or electronic documents related to such
activities and to promote the universal use of electronic transactions in the government and by the
general public.

Local Government Code of 1991, Sec. 374. Establishing of an Archival System states that
every local government unit shall provide for the establishment of an archival system to ensure the
safety and protection of all government property, public documents or records such as records of
births, marriages, property inventory, land assessments, land ownership, tax payments, tax
accounts, and business permits, and such other records or documents of public interest in the
various departments and offices of the provincial, city, or municipal government concerned.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 35
R
ecords are valuable resources of the Government to
support evidence-based decision
making, meet

operational and regulatory requirements and are

essential
for an open and accountable government. Good
records
management not only helps protect records but also
enhances an organization’s operational efficiency while minimizing costs. Records
management is therefore an important common function of bureau and departments.

Use of electronic means to conduct business and deliver public services has become increasingly
commonplace. The proportion of government records being created digitally is increasing
exponentially. Electronic records come in a wide variety of formats: e-mails, images, spreadsheets,
texts, audio recordings, etc. and have a vulnerable nature. They are easily overwritten, lost or
become inaccessible over time in light of rapid technological

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 2
changes and obsolescence, unless specific policies, strategies and tools are developed

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 36
and adopted to properly manage and preserve them for as long as they are required to serve legal,
regulatory, business, operational, evidence and archival purposes.

LESSON 1: Government Records and Qualities of a Records

Definition of government records

A government record is any recorded information or data in any physical format or media created
or received by a bureaus and department during its course of official business and kept as evidence
of policies, decisions, procedures, functions, activities and transactions.

In order to serve as evidence, a record must possess the following set of attributes and be part of
the recordkeeping system that provides the necessary information to document accurately the
policies, decisions, procedures, functions, activities and transactions for which the record was
created or collected –

a) Content – the content of a record refers to the information or idea the record contains; b)
Context – the context of a record comprises the information about the circumstances in which
the record is created, transmitted, maintained and used (e.g. who created it, when, to whom
was it sent, why); and
c) Structure – the structure of a record means the physical and/or logical format of the record, and
the way parts of the record related to each other (e.g. the structure of an e-mail record covers
its header, body, attachments and corresponding reply).

Records are an integral part of business processes and must be managed and retained for as long
as they are needed to support the functions of a bureaus and departments and to provide
evidence of decisions and activities.

It is the Government’s policy to require the establishment of a comprehensive records

management program in each bureaus and department to ensure that records as

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 3
evidence of policies, decisions, procedures, functions, activities and transactions are properly
kept and managed.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 37
Qualities of a record
In order to serve as reliable evidence of decisions and activities, records must have qualities
of –

a) Authenticity – an authentic record is one that can be proven (i) to be what it purports to be; (ii)
to have been created or sent by the person purported to have created or sent it; and (iii) to have
been created or sent at the time purported;

b) Reliability – a reliable record is one whose contents can be trusted as a full and accurate
representation of the transactions, activities or facts to which they attest and can be depended
upon in the course of subsequent transactions or activities;

c) Integrity – the integrity of a record refers to its being complete and unaltered; and

d) Usability – a usable record is one that can be located, retrieved, presented and interpreted. It
should be capable of subsequent presentation as directly connected to the business activity or
transaction that produced it.

Importance of Identifying Vital Records

The process of review should include the particularly important task of identifying vital records. Vital
records (also referred to as essential records) are those records needed by the institution to
support its own recovery after a disaster or emergency. Other vital records may also be needed to
help the organization protect its assets and protect employees, volunteers or the public. (This use of
the term ‘vital’ is different from the sense of a vital record as a document of a significant life event,
such as birth, marriage or death.)

The vital records of an archival institution might include its accession records, which identify
everything in the institution’s custody or under its control. Other vital records might

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 4
be staff and volunteer contact information, needed to locate everyone in an emergency

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 38
and ensure they are safe; and reference room or building entry registers, which can identify anyone
in the facility at a particular time, so everyone can be located and protected in an emergency. Other
vital records might include building leases, essential service contracts or other documents that
prove the institution’s rights and responsibilities. Once these vital records are identified, the archivist
needs to develop mechanisms for protecting them and build that guidance into her institution’s
emergency plan, discussed later, so action can be taken to protect and access the records in an
emergency.

LESSON 2: Electronic Records: Challenges and Needs

An electronic record means a record generated in

digital form by an information system, which can be
(a)
transmitted within an information system or from one
information system to another; and (b) stored in an
information system or other medium.

Challenges of managing electronic records

Electronic records present unique challenges in RM because of –
a) the fragility of the media (e.g. magnetic tapes and CD-ROMs) upon which they are recorded.
These media are inherently unstable, requiring specific storage conditions and are highly
susceptible to damage during handling and use;

b) the dependency on technology to allow access and use. Unlike paper records which require no
further technology to interpret the information therein, electronic records cannot be read directly
without the aid of computer software and hardware to interpret the binary codes used to
represent letters, numbers and figures and so on. Electronic records can be lost because they
cannot be read or understood due to hardware and software obsolescence;

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 39
ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 5
c) the ease of manipulation (i.e. updated, deleted, altered intentionally or inadvertently) without
being discovered; and

d) the absence of self-evident and ready contextual information (e.g. who created it, when, to
whom was it sent, why) to enable that the records are understandable and usable over time.

Need for electronic records management

In the era of e-government, due to the widespread use of desktop computers and
communication/decision making through e-mails, a significant portion of electronic records is
created and received in an unstructured computing environment where – a) business processes
and workflows are not well defined;

b) the user has relative autonomy over what information is created, sent, and stored (e.g. an
e-mail and its attachments); and

c) accountability for recordkeeping has not been well defined.

The characteristics of electronic records coupled with the unstructured computing

environment may give rise to the following risks in Records Management – a) uncontrolled
accumulation of records, documents and data;
b) inadequate or incomplete keeping of records;
c) inadvertent destruction of records;
d) unauthorized tampering with records; and
e) inadequate or lack of contextual information of records.

To deal with the challenges for managing electronic records, there is a need to develop policy,
strategies and tools to ensure that government electronic records are managed properly and
effectively. Electronic Records Management, applying records management principles and
adopting electronic means, primarily an electronic recordkeeping system (ERKS) to keep and
manage records, is a proven solution.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 40
ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 6
LESSON 3: Hybrid Records Management Environment

Although many records are created or

received
in digital format, non-electronic records will co
exist with electronic records for some time for
various reasons, such as –

a) paper is still the preferred medium by many people;

b) records such as contracts, deeds, tenders, supplies or accounting records may need to be
retained in their original paper format to ensure their authenticity and/or to meet regulatory or
legal requirements; and

c) non-electronic records which are inconvenient or difficult to be digitized, e.g. bulky books,
oversized maps, audio/video tapes, exhibits may have to be kept in their original formats.

The co-existence of electronic records and non-electronic records creates a hybrid RM

environment. Under this environment, it is important to maintain the links between related
electronic and non-electronic records to ensure that the records are complete and the necessary
contextual information is captured to facilitate understanding of the records.

LESSON 4: Electronic Recordkeeping System

An electronic recordkeeping system is an

information/computer system with the necessary
records
management capabilities designed to electronically
collect,

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 41
organize, classify and control the creation, storage, retrieval,
distribution, maintenance and use, disposal and preservation of
records.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 7
Anticipated benefits of Electronic Recordkeeping System A properly designed and
comprehensive records management program supported by an electronic recordkeeping system
provides ready access to relevant information about business activities, facilitates collaboration
across workgroups, supports decision making and provides evidence of official transactions. These
will bring about the following key benefits –
a) better governance and greater accountability;
b) enhanced operational efficiency and reduced cost for storing records; c)
improved organizational compliance with legal and regulatory requirements; d) higher
efficiency and effectiveness in managing electronic records; e) strengthened security and
access control to records;
f) better sharing of information; and
g) better preservation of corporate and community memory.

LESSON 5: Information Technology Requirements

The records manager also has to

consider
information technology
requirements.
Buying a desk and chair can be an
investment; good quality furniture will last
for decades or centuries. But computer
technology is not a one-time cost. As long
as computer manufacturers and software designers keep making new systems and tools (and
planned obsolescence seems to be the mantra of many technology companies), computer users
have to keep pace, so equipment, software and related tools need to be

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 42
replaced with painful and expensive regularity.

Budgeting for technology, therefore, involves planning not just for the cost of purchasing hardware,
software, licenses and supplies in the first place but also for upgrades, training, maintenance,
repairs and replacement. The need for continuous improvement in information technologies is
particularly acute if the institution has taken on responsibility

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 8
for managing digital records and archives. But even if the institution is not responsible for its
sponsor agency’s digital records, it will still need high-quality, well maintained information
technologies, to support tasks such as accessioning, arrangement and description, location
management, digitization, reference and access. An archival institution needs:

❑ adequate and up-to-date hardware and software, including servers, peripherals (such as
printers and scanners) and software licenses and contracts;

❑ reliable technical support services, including training, software installation, repairs and upgrades,
troubleshooting and maintenance of facilities and equipment;

❑ the highest quality security systems and services, including remote storage and back up
systems for digital archives and institutional records, firewalls to prevent unauthorized access
to the institution’s computers and strict protocols for the management of passwords and
access to systems and data; and

❑ technical and design support for developing and maintaining web pages, virtual exhibits,
internet-based resource information and online reference services.

LESSON 6: Trends in Electronic Records Management and Information Management

Even though more businesses than ever are

investing in new technologies, using
physical

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 43
records continues to be a fact of office life. This can be
attributed to the increased use of equipment that enables
employees to create physical records from electronic
media. Copiers, printers, and
facsimile machines all have the ability to interface with office computer systems to produce
large volumes of physical documents.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 9
Other reasons for continued popularity of physical records are more personal and individual: paper
requires no additional equipment for viewing; people can write on and annotate physical
documents; and paper is easily transportable.

People who have grown up reading from a screen are comfortable with that medium. Will this
comfort of reading from a screen change the dependence on physical documents? This change in
work and learning methods could help reduce physical records in the future. As a consequence of
the current information explosion, records managers must deal with increasing numbers of records
—both physical and electronic.

Electronic Records
An electronic record is a record stored on
electronic
media that can be readily accessed or
changed. A
piece of equipment is required to view and read
or
listen to electronic records. With the
development
and use of application software on personal
computers, letters, memos, and reports were
created
electronically; however, the purpose of these systems was
to facilitate the creation of physical records. As technology
has advanced, true electronic
records are in use today; i.e., records created, distributed, used, and stored in electronic
ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 44
form. The contents of these records are accessible by machine.

The challenge for the records manager is to ensure that all records are what they appear to be.
Increases in fraud and theft of electronic records have left records and information managers
desperate to ensure the safety and security of the organization’s valuable resources.

To that end, each person responsible for electronic records follows the records management
storage and retrieval procedures set up for the organization. Consistently following procedures
helps protect the company in legal actions. The same benefits of

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 10
following proper records management procedures for physical records also apply to electronic
records: The information is available at the right time to help make effective decisions.

Electronic Mail
Electronic mail (e-mail) is a system that
enables users to compose, transmit,
receive,
and manage electronic documents and
images
across networks. A variety of electronic mail
systems allow users to write and send messages via
computers and software.

E-mail is now the primary mode of communication between employees in corporations and
governmental agencies. The many advantages of using e-mail include its ease of use and short
delivery time. The message- delivery process of e-mail is nearly instantaneous on some networks.
Unfortunately, e-mail has a potential for abuse and disaster. Records and information managers
have developed policies related to electronic records for their organizations. Employees must follow
the policies developed for effective and efficient management of electronic records.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 45
Many questions related to records management and e-mail must be addressed by records
managers. E-mail communications can be used in a court of law. What procedures are in place to
respond to a court order to produce e-mail records? How do you maintain the integrity of a record?
Can you keep it confidential? How long do you keep an electronic mail message? Is it acceptable to
send personal e-mails over the organization network? These questions are only a few of the ones
that must be answered as more and more messages are sent and received electronically. Records
and information managers work with Information Technology departments to determine the
feasibility of storage. Many organizations are changing their archiving policies because the volume
of e-mail is expanding.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 11
Other Electronic Records
Wikis, blogs, podcasts, webinars, online forums, social media sites and tweets are some of the
newer modes of electronic communication. Recorded information on these media can be official
records; or they can also be unstructured and not considered records.

A wiki is a page or collection of web pages that allows people who access the site to contribute or
modify content. Wikis allow users to work collaboratively, updating each other’s entries or creating
new entries. Wikis are used in business to provide product information or use instructions, gather
feedback from product or service users, and communicate on other issues.

A blog (short for the term web log) is a shared, online journal. The journal is hosted by a
company, organization, or individual who makes regular entries called posts. The posts contain text
comments on the blog topic. Some blogs also contain graphics or video. Entries are usually shown
in reverse-chrono-logical order. The blog host may allow readers to post comments or replies to
the blog entries. Blog can also be used as a verb, meaning to post content to a blog. A blogger is a
person who contributes to a blog.

A podcast is a broadcast sent over the Internet to receivers who hear and/or view the

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 46
information via computers, MP3 players, or other electronic devices. Early podcasts were often
received using iPods, thus the name pod-cast. A podcaster is the organization or person who
creates and broadcasts the content of a podcast. A podcast may be audio only or it may contain
video and audio. Many podcasts are free to receivers. For some podcasts, receivers have to pay a
fee. Receivers may subscribe to an RRS feed to receive podcasts. RRS stands for really simple
syndication and is the technology used in creating the feed. Updated information from the feed is
automatically downloaded to the subscriber’s computer and can be viewed at his or her
convenience.

A webinar (short for Web seminar) is a presentation given over the World Wide Web.
Videoconferencing is used so that participants and the presenter can interact, asking and
answering questions. The participants may be in a special room designed with cameras

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 12
and other equipment for videoconferencing or they may use a webcam and a personal computer
to take part in the webinar.

An Internet Forum, or online message board, is a place where people can post and read
messages. Browser software is used to read and post messages to the forum. The messages may
be sorted into discussion topics or subjects. Messages about a particular topic are called threads.

Social Media refers to websites and applications that are designed to allow people to share content
quickly, efficiently, and in real-time. While many people access social media through smartphone
apps, this communication tool started with computers, and social media can refer to any internet
communication tool that allows users to broadly share content and engage with the public. The
ability to share photos, opinions, and events in real-time has transformed the way we live and the
way we do business.

A tweet is a short message posted on the Twitter social network website. The messages can be
posted or viewed on a computer or a mobile phone. A tweet is similar to a blog post or an e-mail,
but shorter—usually limited to 140 characters. Tweeting has some business applications in
announcing sales, meetings, or other information. For example,

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 47
if you are running late to a meeting, you might post a tweet letting others know where you are and
why you are late.

Document Imaging
Document imaging is an
automated
system for scanning, storing,
retrieving,
and managing images of physical
records
in an electronic format. A physical document is
scanned into a computer file, thus creating an
electronic image of the
document. Scanned files are usually large; consequently, optical disk storage is
recommended.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 13
Textual data can be converted electronically using optical character recognition (OCR) software.
Lists of key words are created for each scanned file. An image and text database are
developed enabling a search by key words to find a document in a matter of seconds. Once found,
the document can be sent to the requester by fax, computer-to computer communication, or a
physical copy.

The Internet and Electronic Commerce

The Internet is a worldwide network of computers that allows public access to send, store, and
receive electronic information over public networks. The multimedia center of the Internet, the
World Wide Web, is a worldwide hypermedia system (a network of computers that can read
documents containing hyperlinks) that allows browsing in many databases. Companies,
organizations, and individuals create locations, called websites, that can be accessed by anyone
who has an Internet connection.

Companies use these sites to share

information
about themselves and their products. They also

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 48
conduct business using these sites. A broad definition
of e-commerce is an electronic method to
communicate and to transact business over
networks and through computers. In other words, e-commerce is the buying and selling of goods
and services using the Internet and other digital communications such as electronic funds transfer,
smart cards, and digital cash.

Complex, sophisticated e-commerce systems use a combination of technology: the organization’s

databases, server applications, and browser software to display the transaction. For example, when
you decide to buy something from an e-commerce site, you create an account. Your account
information is entered into a database—you, as the user, are creating a record for the company.
The record is stored in the company’s database until the next time you look at the company’s
website. Companies utilize “cookies,” which are embedded information stored on your computer.
When you visit the

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 14
company site again, the cookie sends information about you to the site so that you can add
purchases or edit your account.

As you buy more products, the company tracks your particular taste in products. If you haven’t
purchased anything for a while, an e-mail may be automatically generated to let you know of new
products that match your previous purchases. The company is able to generate new business
based on previous business. This process is called niche marketing, and it’s available in an all-
electronic format.

Management of e-commerce bridges the gap between information technology, records and
information management, and the company’s legal departments. Cooperation between and among
these departments ensures a smooth flow of customer service, sales, and evidence of the
transactions.

Electronic File Transfer and Data Interchange

The business processes of electronic file transfer and data interchange are another way that
organizations use digital communications.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 49
Electronic fund transfer (EFT) provides for electronic
payments and collections. It is safe, secure, efficient, and less
expensive than paper check payments and collections. Many
organizations deposit their employees’ pay by using EFT.

Electronic data interchange (EDI) is a communication procedure between two companies that
allows the exchange of standardized documents (most commonly invoices or purchase orders)
through computers. If the two companies/organizations have compatible systems, the computers
talk to each other through a connection. Walmart is an example of a retailer that communicates with
suppliers using EDI. For example, suppose you buy a pair of jeans at a local retailer, such as
Shoemart (SM) or groceries in Puregold Supermarket. The item is scanned, and the inventory of
these jeans and/or

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 15
grocery items is updated. If more jeans and/or grocery items are needed, the retailer sends a
purchase order to the apparel company or supplier warehouse by EDI. When the apparel
company ships the order, an invoice is created and sent to the retailer, again through EDI. The
retailer can then pay the apparel company and/or supplier by electronic funds transfer. Thus, no
physical records are exchanged. Records and information managers should ensure that the records
transmitted in this business process are authentic, correct, and usable.

Enterprise Content Management

“Enterprise content management (ECM) is the
term
used to describe the technologies, tools, and
methods
used to capture, manage, store, preserve, and
deliver
content or information across an enterprise or
organization.” This term and definition comes from

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 50
 AIIM, a global enterprise content management
association. An enterprise is a business venture or
company. Systems have long been in place for electronic document management (EDM) and
business process management (BPM). The broader term of ECM is an attempt to deal with the
complex world of information technology where one technology can become outdated and be
replaced with several new ones.

The value of ECM is not only in its technology, but also in the activities that involve people and
processes. Organizations need a solution that enables their users to share documents and provides
collaborative features (such as discussion threads, calendar items, and additional project
information) in a secure manner.

Many organizations realize that implementing and managing an integrated process is a challenge.
Organizations must invest in risk assessments, policy development, training, management
strategies, and other activities, as well as technology. This involves several departments in an
organization that work together to make ECM work in the organization.

As with all records, ECM acknowledges that not all records are created equal. The records have business, operation,
legal, and/or regulatory value as discussed earlier. ECM also works well on unstructured information that exists
outside the confines of database systems. The vast majority of information in most organizations comes from e-mail,
word processing documents, digital images, and PDF (portable document format) files. Industry experts place this
type of information at 80 percent of all information created for an organization. ECM is a process that will help an
enterprise and government benefit in efficiency and effectiveness because of the combination of people, processes,
and technology. Because of the information explosion, most new information is stored on some type of electronic
media. Records and information management professionals are concerned about the management of these records.
In the next section, you will learn about the legal considerations for records management.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 51
ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 52
records are valuable resources of the Government to support evidence-based decision making, meet
operational and regulatory requirements and are essential for an open and accountable government. Good records
management not only helps protect records but also
enhances an organization’s operational efficiency while minimizing costs. Records management is therefore an
important common function of bureau and departments.

Use of electronic means to conduct business and deliver public services has become increasingly
commonplace. The proportion of government records being created digitally is increasing
exponentially. Electronic records come in a wide variety of formats: e-mails, images, spreadsheets,
texts, audio recordings, etc. and have a vulnerable nature. They are easily overwritten, lost or
become inaccessible over time in light of rapid technological

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 2
changes and obsolescence, unless specific policies, strategies and tools are developed

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 53
and adopted to properly manage and preserve them for as long as they are required to serve legal,
regulatory, business, operational, evidence and archival purposes.

LESSON 1: Government Records and Qualities of a Records

Definition of government records

A government record is any recorded information or data in any physical format or media created
or received by a bureaus and department during its course of official business and kept as evidence
of policies, decisions, procedures, functions, activities and transactions.

In order to serve as evidence, a record must possess the following set of attributes and be part of
the recordkeeping system that provides the necessary information to document accurately the
policies, decisions, procedures, functions, activities and transactions for which the record was
created or collected –

a) Content – the content of a record refers to the information or idea the record contains; b)
Context – the context of a record comprises the information about the circumstances in which
the record is created, transmitted, maintained and used (e.g. who created it, when, to whom
was it sent, why); and
c) Structure – the structure of a record means the physical and/or logical format of the record, and
the way parts of the record related to each other (e.g. the structure of an e-mail record covers
its header, body, attachments and corresponding reply).

Records are an integral part of business processes and must be managed and retained for as long
as they are needed to support the functions of a bureaus and departments and to provide
evidence of decisions and activities.

It is the Government’s policy to require the establishment of a comprehensive records

management program in each bureaus and department to ensure that records as

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 3
evidence of policies, decisions, procedures, functions, activities and transactions are properly
kept and managed.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 54
Qualities of a record
In order to serve as reliable evidence of decisions and activities, records must have qualities
of –

e) Authenticity – an authentic record is one that can be proven (i) to be what it purports to be; (ii)
to have been created or sent by the person purported to have created or sent it; and (iii) to have
been created or sent at the time purported;

f) Reliability – a reliable record is one whose contents can be trusted as a full and accurate
representation of the transactions, activities or facts to which they attest and can be depended
upon in the course of subsequent transactions or activities;

g) Integrity – the integrity of a record refers to its being complete and unaltered; and

h) Usability – a usable record is one that can be located, retrieved, presented and interpreted. It
should be capable of subsequent presentation as directly connected to the business activity or
transaction that produced it.

Importance of Identifying Vital Records

The process of review should include the particularly important task of identifying vital records. Vital
records (also referred to as essential records) are those records needed by the institution to
support its own recovery after a disaster or emergency. Other vital records may also be needed to
help the organization protect its assets and protect employees, volunteers or the public. (This use of
the term ‘vital’ is different from the sense of a vital record as a document of a significant life event,
such as birth, marriage or death.)

The vital records of an archival institution might include its accession records, which identify
everything in the institution’s custody or under its control. Other vital records might

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 4
be staff and volunteer contact information, needed to locate everyone in an emergency

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 55
and ensure they are safe; and reference room or building entry registers, which can identify anyone
in the facility at a particular time, so everyone can be located and protected in an emergency. Other
vital records might include building leases, essential service contracts or other documents that
prove the institution’s rights and responsibilities. Once these vital records are identified, the archivist
needs to develop mechanisms for protecting them and build that guidance into her institution’s
emergency plan, discussed later, so action can be taken to protect and access the records in an
emergency.

LESSON 2: Electronic Records: Challenges and Needs

An electronic record means a record generated in

digital form by an information system, which can be
(a)
transmitted within an information system or from one
information system to another; and (b) stored in an
information system or other medium.

Challenges of managing electronic records

Electronic records present unique challenges in RM because of –
e) the fragility of the media (e.g. magnetic tapes and CD-ROMs) upon which they are recorded.
These media are inherently unstable, requiring specific storage conditions and are highly
susceptible to damage during handling and use;

f) the dependency on technology to allow access and use. Unlike paper records which require no
further technology to interpret the information therein, electronic records cannot be read directly
without the aid of computer software and hardware to interpret the binary codes used to
represent letters, numbers and figures and so on. Electronic records can be lost because they
cannot be read or understood due to hardware and software obsolescence;

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 56
ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 5
g) the ease of manipulation (i.e. updated, deleted, altered intentionally or inadvertently) without
being discovered; and

h) the absence of self-evident and ready contextual information (e.g. who created it, when, to
whom was it sent, why) to enable that the records are understandable and usable over time.

Need for electronic records management

In the era of e-government, due to the widespread use of desktop computers and
communication/decision making through e-mails, a significant portion of electronic records is
created and received in an unstructured computing environment where – a) business processes
and workflows are not well defined;

d) the user has relative autonomy over what information is created, sent, and stored (e.g. an
e-mail and its attachments); and

e) accountability for recordkeeping has not been well defined.

The characteristics of electronic records coupled with the unstructured computing

environment may give rise to the following risks in Records Management – a) uncontrolled
accumulation of records, documents and data;
f) inadequate or incomplete keeping of records;
g) inadvertent destruction of records;
h) unauthorized tampering with records; and
i) inadequate or lack of contextual information of records.

To deal with the challenges for managing electronic records, there is a need to develop policy,
strategies and tools to ensure that government electronic records are managed properly and
effectively. Electronic Records Management, applying records management principles and
adopting electronic means, primarily an electronic recordkeeping system (ERKS) to keep and
manage records, is a proven solution.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 57
ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 6
LESSON 3: Hybrid Records Management Environment

Although many records are created or

received
in digital format, non-electronic records will co
exist with electronic records for some time for
various reasons, such as –

d) paper is still the preferred medium by many people;

e) records such as contracts, deeds, tenders, supplies or accounting records may need to be
retained in their original paper format to ensure their authenticity and/or to meet regulatory or
legal requirements; and

f) non-electronic records which are inconvenient or difficult to be digitized, e.g. bulky books,
oversized maps, audio/video tapes, exhibits may have to be kept in their original formats.

The co-existence of electronic records and non-electronic records creates a hybrid RM

environment. Under this environment, it is important to maintain the links between related
electronic and non-electronic records to ensure that the records are complete and the necessary
contextual information is captured to facilitate understanding of the records.

LESSON 4: Electronic Recordkeeping System

An electronic recordkeeping system is an

information/computer system with the necessary
records
management capabilities designed to electronically
collect,

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 58
organize, classify and control the creation, storage, retrieval,
distribution, maintenance and use, disposal and preservation of
records.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 7
Anticipated benefits of Electronic Recordkeeping System A properly designed and
comprehensive records management program supported by an electronic recordkeeping system
provides ready access to relevant information about business activities, facilitates collaboration
across workgroups, supports decision making and provides evidence of official transactions. These
will bring about the following key benefits –
c) better governance and greater accountability;
d) enhanced operational efficiency and reduced cost for storing records; c)
improved organizational compliance with legal and regulatory requirements; d) higher
efficiency and effectiveness in managing electronic records; e) strengthened security and
access control to records;
h) better sharing of information; and
i) better preservation of corporate and community memory.

LESSON 5: Information Technology Requirements

The records manager also has to

consider
information technology
requirements.
Buying a desk and chair can be an
investment; good quality furniture will last
for decades or centuries. But computer
technology is not a one-time cost. As long
as computer manufacturers and software designers keep making new systems and tools (and
planned obsolescence seems to be the mantra of many technology companies), computer users
have to keep pace, so equipment, software and related tools need to be

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 59
replaced with painful and expensive regularity.

Budgeting for technology, therefore, involves planning not just for the cost of purchasing hardware,
software, licenses and supplies in the first place but also for upgrades, training, maintenance,
repairs and replacement. The need for continuous improvement in information technologies is
particularly acute if the institution has taken on responsibility

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 8
for managing digital records and archives. But even if the institution is not responsible for its
sponsor agency’s digital records, it will still need high-quality, well maintained information
technologies, to support tasks such as accessioning, arrangement and description, location
management, digitization, reference and access. An archival institution needs:

❑ adequate and up-to-date hardware and software, including servers, peripherals (such as
printers and scanners) and software licenses and contracts;

❑ reliable technical support services, including training, software installation, repairs and upgrades,
troubleshooting and maintenance of facilities and equipment;

❑ the highest quality security systems and services, including remote storage and back up
systems for digital archives and institutional records, firewalls to prevent unauthorized access
to the institution’s computers and strict protocols for the management of passwords and
access to systems and data; and

❑ technical and design support for developing and maintaining web pages, virtual exhibits,
internet-based resource information and online reference services.

LESSON 6: Trends in Electronic Records Management and Information Management

Even though more businesses than ever are

investing in new technologies, using
physical

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 60
records continues to be a fact of office life. This can be
attributed to the increased use of equipment that enables
employees to create physical records from electronic
media. Copiers, printers, and
facsimile machines all have the ability to interface with office computer systems to produce
large volumes of physical documents.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 9
Other reasons for continued popularity of physical records are more personal and individual: paper
requires no additional equipment for viewing; people can write on and annotate physical
documents; and paper is easily transportable.

People who have grown up reading from a screen are comfortable with that medium. Will this
comfort of reading from a screen change the dependence on physical documents? This change in
work and learning methods could help reduce physical records in the future. As a consequence of
the current information explosion, records managers must deal with increasing numbers of records
—both physical and electronic.

Electronic Records
An electronic record is a record stored on
electronic
media that can be readily accessed or
changed. A
piece of equipment is required to view and read
or
listen to electronic records. With the
development
and use of application software on personal
computers, letters, memos, and reports were
created
electronically; however, the purpose of these systems was
to facilitate the creation of physical records. As technology
has advanced, true electronic
records are in use today; i.e., records created, distributed, used, and stored in electronic
ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 61
form. The contents of these records are accessible by machine.

The challenge for the records manager is to ensure that all records are what they appear to be.
Increases in fraud and theft of electronic records have left records and information managers
desperate to ensure the safety and security of the organization’s valuable resources.

To that end, each person responsible for electronic records follows the records management
storage and retrieval procedures set up for the organization. Consistently following procedures
helps protect the company in legal actions. The same benefits of

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 10
following proper records management procedures for physical records also apply to electronic
records: The information is available at the right time to help make effective decisions.

Electronic Mail
Electronic mail (e-mail) is a system that
enables users to compose, transmit,
receive,
and manage electronic documents and
images
across networks. A variety of electronic mail
systems allow users to write and send messages via
computers and software.

E-mail is now the primary mode of communication between employees in corporations and
governmental agencies. The many advantages of using e-mail include its ease of use and short
delivery time. The message- delivery process of e-mail is nearly instantaneous on some networks.
Unfortunately, e-mail has a potential for abuse and disaster. Records and information managers
have developed policies related to electronic records for their organizations. Employees must follow
the policies developed for effective and efficient management of electronic records.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 62
Many questions related to records management and e-mail must be addressed by records
managers. E-mail communications can be used in a court of law. What procedures are in place to
respond to a court order to produce e-mail records? How do you maintain the integrity of a record?
Can you keep it confidential? How long do you keep an electronic mail message? Is it acceptable to
send personal e-mails over the organization network? These questions are only a few of the ones
that must be answered as more and more messages are sent and received electronically. Records
and information managers work with Information Technology departments to determine the
feasibility of storage. Many organizations are changing their archiving policies because the volume
of e-mail is expanding.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 11
Other Electronic Records
Wikis, blogs, podcasts, webinars, online forums, social media sites and tweets are some of the
newer modes of electronic communication. Recorded information on these media can be official
records; or they can also be unstructured and not considered records.

A wiki is a page or collection of web pages that allows people who access the site to contribute or
modify content. Wikis allow users to work collaboratively, updating each other’s entries or creating
new entries. Wikis are used in business to provide product information or use instructions, gather
feedback from product or service users, and communicate on other issues.

A blog (short for the term web log) is a shared, online journal. The journal is hosted by a
company, organization, or individual who makes regular entries called posts. The posts contain text
comments on the blog topic. Some blogs also contain graphics or video. Entries are usually shown
in reverse-chrono-logical order. The blog host may allow readers to post comments or replies to
the blog entries. Blog can also be used as a verb, meaning to post content to a blog. A blogger is a
person who contributes to a blog.

A podcast is a broadcast sent over the Internet to receivers who hear and/or view the

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 63
information via computers, MP3 players, or other electronic devices. Early podcasts were often
received using iPods, thus the name pod-cast. A podcaster is the organization or person who
creates and broadcasts the content of a podcast. A podcast may be audio only or it may contain
video and audio. Many podcasts are free to receivers. For some podcasts, receivers have to pay a
fee. Receivers may subscribe to an RRS feed to receive podcasts. RRS stands for really simple
syndication and is the technology used in creating the feed. Updated information from the feed is
automatically downloaded to the subscriber’s computer and can be viewed at his or her
convenience.

A webinar (short for Web seminar) is a presentation given over the World Wide Web.
Videoconferencing is used so that participants and the presenter can interact, asking and
answering questions. The participants may be in a special room designed with cameras

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 12
and other equipment for videoconferencing or they may use a webcam and a personal computer
to take part in the webinar.

An Internet Forum, or online message board, is a place where people can post and read
messages. Browser software is used to read and post messages to the forum. The messages may
be sorted into discussion topics or subjects. Messages about a particular topic are called threads.

Social Media refers to websites and applications that are designed to allow people to share content
quickly, efficiently, and in real-time. While many people access social media through smartphone
apps, this communication tool started with computers, and social media can refer to any internet
communication tool that allows users to broadly share content and engage with the public. The
ability to share photos, opinions, and events in real-time has transformed the way we live and the
way we do business.

A tweet is a short message posted on the Twitter social network website. The messages can be
posted or viewed on a computer or a mobile phone. A tweet is similar to a blog post or an e-mail,
but shorter—usually limited to 140 characters. Tweeting has some business applications in
announcing sales, meetings, or other information. For example,

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 64
if you are running late to a meeting, you might post a tweet letting others know where you are and
why you are late.

Document Imaging
Document imaging is an
automated
system for scanning, storing,
retrieving,
and managing images of physical
records
in an electronic format. A physical document is
scanned into a computer file, thus creating an
electronic image of the
document. Scanned files are usually large; consequently, optical disk storage is
recommended.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 13
Textual data can be converted electronically using optical character recognition (OCR) software.
Lists of key words are created for each scanned file. An image and text database are
developed enabling a search by key words to find a document in a matter of seconds. Once found,
the document can be sent to the requester by fax, computer-to computer communication, or a
physical copy.

The Internet and Electronic Commerce

The Internet is a worldwide network of computers that allows public access to send, store, and
receive electronic information over public networks. The multimedia center of the Internet, the
World Wide Web, is a worldwide hypermedia system (a network of computers that can read
documents containing hyperlinks) that allows browsing in many databases. Companies,
organizations, and individuals create locations, called websites, that can be accessed by anyone
who has an Internet connection.

Companies use these sites to share

information
about themselves and their products. They also

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 65
conduct business using these sites. A broad definition
of e-commerce is an electronic method to
communicate and to transact business over
networks and through computers. In other words, e-commerce is the buying and selling of goods
and services using the Internet and other digital communications such as electronic funds transfer,
smart cards, and digital cash.

Complex, sophisticated e-commerce systems use a combination of technology: the organization’s

databases, server applications, and browser software to display the transaction. For example, when
you decide to buy something from an e-commerce site, you create an account. Your account
information is entered into a database—you, as the user, are creating a record for the company.
The record is stored in the company’s database until the next time you look at the company’s
website. Companies utilize “cookies,” which are embedded information stored on your computer.
When you visit the

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 14
company site again, the cookie sends information about you to the site so that you can add
purchases or edit your account.

As you buy more products, the company tracks your particular taste in products. If you haven’t
purchased anything for a while, an e-mail may be automatically generated to let you know of new
products that match your previous purchases. The company is able to generate new business
based on previous business. This process is called niche marketing, and it’s available in an all-
electronic format.

Management of e-commerce bridges the gap between information technology, records and
information management, and the company’s legal departments. Cooperation between and among
these departments ensures a smooth flow of customer service, sales, and evidence of the
transactions.

Electronic File Transfer and Data Interchange

The business processes of electronic file transfer and data interchange are another way that
organizations use digital communications.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 66
Electronic fund transfer (EFT) provides for electronic
payments and collections. It is safe, secure, efficient, and less
expensive than paper check payments and collections. Many
organizations deposit their employees’ pay by using EFT.

Electronic data interchange (EDI) is a communication procedure between two companies that
allows the exchange of standardized documents (most commonly invoices or purchase orders)
through computers. If the two companies/organizations have compatible systems, the computers
talk to each other through a connection. Walmart is an example of a retailer that communicates with
suppliers using EDI. For example, suppose you buy a pair of jeans at a local retailer, such as
Shoemart (SM) or groceries in Puregold Supermarket. The item is scanned, and the inventory of
these jeans and/or

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 15
grocery items is updated. If more jeans and/or grocery items are needed, the retailer sends a
purchase order to the apparel company or supplier warehouse by EDI. When the apparel
company ships the order, an invoice is created and sent to the retailer, again through EDI. The
retailer can then pay the apparel company and/or supplier by electronic funds transfer. Thus, no
physical records are exchanged. Records and information managers should ensure that the records
transmitted in this business process are authentic, correct, and usable.

Enterprise Content Management

“Enterprise content management (ECM) is the
term
used to describe the technologies, tools, and
methods
used to capture, manage, store, preserve, and
deliver
content or information across an enterprise or
organization.” This term and definition comes from

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 67
AIIM, a global enterprise content management
association. An enterprise is a business venture or
company. Systems have long been in place for electronic document management (EDM) and
business process management (BPM). The broader term of ECM is an attempt to deal with the
complex world of information technology where one technology can become outdated and be
replaced with several new ones.

The value of ECM is not only in its technology, but also in the activities that involve people and
processes. Organizations need a solution that enables their users to share documents and provides
collaborative features (such as discussion threads, calendar items, and additional project
information) in a secure manner.

Many organizations realize that implementing and managing an integrated process is a challenge.
Organizations must invest in risk assessments, policy development, training, management
strategies, and other activities, as well as technology. This involves several departments in an
organization that work together to make ECM work in the organization.

ELECTRPM – Records and Property Management | Module 2 | Ms. DIANA P. DELA CRUZ 16
As with all records, ECM acknowledges that not all
records
are created equal. The records have business,
operation,
legal, and/or regulatory value as discussed earlier.
ECM also
works well on unstructured information that exists
outside the
confines of database systems. The vast majority of
information in most organizations comes from e-mail, word
processing documents, digital images, and PDF (portable
document format) files. Industry experts place this type of information at 80 percent of all
information created for an organization.

ECM is a process that will help an enterprise and government benefit in efficiency and
effectiveness because of the combination of people, processes, and technology. Because of the
ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 68
information explosion, most new information is stored on some type of electronic media. Records
and information management professionals are concerned about the management of these records.
In the next section, you will learn about the legal considerations for records management.

ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 69
 ecords management is 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. We all rely
on information to help us work effectively and to build the knowledge for ourselves and the
Organization.

Records Creation is the organization’s operation wherein exchanges of written ideas between two
sources occur. At this point, the life of the record begins. It is also the act of collecting records and
retaining them in records keeping system.

Information is “data, ideas, thoughts, or memories irrespective of medium.” Information sources

are considered “non-records”: they are useful but do not provide evidence. Examples include
journals, newspapers, publications, or reference sources.

Documents are any “recorded information or objects that can be treated as individual units.”
Examples include works in progress such as draft communications or “to do” lists,

ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 2
and transitory records such as emails confirming a meeting or acknowledging receipt of a
document.

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.”
Examples include final reports, emails confirming an action or decision, spreadsheets showing
budget decisions, photographs or maps of field missions, which need to be kept as evidence.

Archives are those records that have been selected for permanent preservation because of their
administrative, informational, legal and historical value as evidence of official business of the
organization or institution.

LESSON 1: Concepts/Guides in the Control of Creating Records

1. The Measure of Necessity – Any paper that contributes, within reasonable directness, to the
prompt completion of any process in the agency, or which promotes or protects the interest of
their parties is NECESSARY and must be produced. Any paper not fulfilling the minimum
requirements is UNNECESSARY, and should not therefore be produced.

2. The Basis for Simplicity – Every paper should be prepared in the simplest manner possible
by using the following: commonly known, clear, and specific words; short and direct sentences;
one idea for a paragraph; and only one subject for a document or communication.

3. The Rule of Substitution – It is always an advantage to substitute the simple for the
complicated; the informal for the formal, as long as the desired results are achieved.

ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 3
4. The Rule of Simplification – Complicated procedures are usually time-consuming and
expensive. The rule forces us to seek methods of operation that are easier, more direct, better
and faster.

5. The Measure of Good Supervision – This is the art of continuously applying one’s foresight,
initiative, resourcefulness and responsibility to the work at hand.

6. The Spirit of Teamwork – This attitude among creators minimizes the production of
unnecessary copies of a particular period.

LESSON 2: Major Fields in Records Creation

There are four major fields in records management where the production of records may be
effectively controlled, namely:
1. Directives / Instructions Management
2. Correspondence Management
3. Forms Management
4. Report Management

Directives / Instructions Management

The term directive is applied to any issuance of an organization that guides, instructs and informs
employees in their work. This includes formalized statements of policy and procedure.

Administrative Issuances are written instructions which contain decisions, define functions,
assign responsibility and delegate authority, guide administrative relationship to carry out such
functions and responsibilities, and provide for appropriate administrative controls.

Kinds of Administrative Issuances

 Executive Orders  Administrative Orders

ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 4
  Proclamations  Travel Orders
 Memorandum Circulars  Department Orders
 Budget Circulars  General Memorandum Circular
 General Circulars  Office Memorandum Circular
 Office Circulars  Office Memorandum Order
 Office Orders  Presidential Decrees and Letters of
 Special Orders Instructions

The Purpose of Directives / Instructions Management is: To

provide the: Right Employee
At the: Right Time
With the: Right Instructions
Which are: Complete
Easy to understand
Easy to use
And: Easy to revise
And issue: Promptly
At the: Lowest Possible Cost

Directives Classified According to Contents

 Policy  Information Releases
 Procedures

Directives Classified According to Form

 Notices  Circular
 Orders  Guides
 Handbooks  Standard Operating Procedures
 Manuals  Supplements
 Regulations  Policies
 Bulletins  Standard Practice
 Numbered Letters
ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 5
Importance of Directives
 Pinpoint responsibilities.
 Help prevent repetitive judgments on routine matters.
 Encourage and promote cooperation by delineating work relationships.
 Explain the work procedure thus reducing confusions and doubts.
 Help instruct supervisors & employees in their routine tasks, minimizing lost time.
 Help supervisor play a more positive role and improve the operations of his groups by
becoming more fully involved in work.
 Help condition people for changes that will occur within the organization by
presenting the plan in writing before it goes into effect.

Correspondence Management
A correspondence is conversation reduced into writing. It should convey facts and thoughts in
simple, readable and understandable language. Unprecise correspondence only serves to confuse
readers. Government correspondence consists of letters, memoranda, endorsements, and
directives including written or printed matters.

Characteristics of a Good Correspondence

 A purpose which is critically necessary.
 Attractive in form.
 Language must be suited to its purpose and the understanding of the reader.
 Exemplify the use of courtesy, good judgment and tactfulness.
 Brief and sincere.
 Free from overused words and stereotyped expressions.

The 4-S Formula

1. Shortness
2. Simplicity
3. Strength
4. Sincerity

ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 6
The 5-C Formula
1. Complete
2. Concise
3. Clear
4. Correct
5. Courteous

Tips in Writing Letter

 Be direct.
 Avoid using clichés
 Read the letter over.
 Give your letter a warm personal tone.
 Organize your thoughts before dictation.

Ways of Controlling the Volume of Correspondence

 By elimination
 By substitution
 By controlling copies

Good Correspondence Will Result in

 Fewer inquiries, replies, transmittals and copies.
 More satisfied, correspondence, useful and valuable records, and more executive time for
non-paper activities.
 Less money, time and people involved in correspondence-making.
 Better documentation and reference material classification.

Forms Management
A form may be a piece of communication, letter, or document usually printed or mimeographed or
produced in some other ways whose contents are either complete or may be completed by filling in
the blanks or spaces provided for.

ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 7
 Forms may be classified according to:
 Office function: purchase forms, sales forms, accounting forms, correspondence forms.
 The authority in which they are used: agency forms, bureau forms, uncontrolled forms,
optional forms and standard forms.

Forms Management Program – A thoroughly planned program aimed at improving operation’s

efficiency, reducing cost of operation, promoting public service and enhancing public relations.

Forms Analysis – is a means of determining what should go on the form. It is applied in the
following areas:
 Necessity of the information
 Preparation of the information
 Handling of the information

Forms Design – the phase of agency management that provides the agency with the technical skills
necessary in producing forms and meeting the required standards.

Requirements of a Good Form Design

 Easy to read
 Easy to fill out
 Easy to process
 Pleasing in appearance
 Easy to dispose

FORMS ARE:
 Essential tools of management
 They are more than materials or papers with printed information and blank spaces for the
insertion of variable data

ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 8
  They are considered road maps of the agency because they function both as procedural
instruments and instructions to individual employees, managers and the public.

Forms Control – plan or method used by management to guide and regulate clerical operations by
controlling paperwork. Periodic forms review results in effective forms control which is the objective
of the forms program.

Effective Forms Gives Assurance that:

 Only needed forms, utilizing needed information get approved.
 All forms meet the standard design.
 Forms are used to achieve more efficient procedures.
 Forms are printed, distributed and replenished economically.

Importance of Forms in the Operation of the Agency

 They provide a way through which a uniform information may be given or obtained in a
convenient, logical and orderly arrangement
 They save time, reduce uncertainty by reducing error
 Eliminates needless labor
 Simplify and facilitate work

Reports Management
A report is an official statement of facts relevant to any activity, operation, program or condition. It
is usually written in narrative, statistical, graphical or questionnaire format.

Reports Serve Management

 To form the basis for discussion of the facts and for recommendations.
 To serve as a historical record of that phase of business activity.

ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 9
Reports are Vital to the Agency:
 To evaluate and improve performance by measuring results in terms of quantity, quality
and speed of cost.
 Follow the progress of operations.
 Provide factual measurement of conditions rather than relying on opinions, guesses or
fragmentary verifications.
 Indicate deficiencies and need for timely corrective actions.
 Measure the progress of a program with respect to objectives.
 Determine program values as they relate to agency mission.
 Recognize trends, problems, deviations and other factors which affect the direction and
execution of the program.

Classification of Reports
 Simple or informal report which is a brief communication in letter or memorandum
format.
 Long or formal report which is a long and structured piece of communication.

Kinds of Reports
1. According to Purpose
a) Information Reports
b) Long Term Reports

2. According to Frequency
a) Recurring or Routine Report
b) One-Time or Special Report

3. According to Format
a) Narrative
b) Statistical
c) Graphical
d) Questionnaire

ELECTRPM – Records and Property Management | Module 4 | Ms. DIANA P. DELA CRUZ 10
Principles of Good Report Writing
a) Principle of Brevity
b) Principle of Clarity
c) Principle of Scheduling
d) Principle of Cost

Records Maintenance
It is the creative processes of records management that includes the proper handling and
operations of records, the arrangement of written materials into usable filing sequences and the
selection of the most efficient type of filing (Files Management).

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 2
INTRODUCTION

W e all know that person whose

desktop is cluttered with so
many unorganized files and folders that you
can’t even see their wallpaper. No naming
convention, whatsoever. Several shortcuts to
the same program. Eight empty folders, all
named “New folder”.
This might be fine on a personal computer that’s only used for social media and games, but if
you’re trying to accomplish real work, this sort of mess is only going to lead to mistakes and
frustration. That’s why having a good system for managing files on your computer is crucial if you
want to be more productive and keep on top of things.

A file management system allows admins to set limits, permissions and roles for files. This includes
granting different levels of access to files and assigning roles for specific users. This increases
efficiency, as the right user receives the correct file.

An organization’s security strengthens with modern file management software. It offers encryption
for logins and supports secure connections. Furthermore, it allows admins to receive data reports
which help them improve organizational decisions.

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 3
 LESSON 1: Files Management - Concepts

Files Management deals with keeping and maintaining

records in custody and the procedures of classifying, filing
and servicing them. It is the management of official records
that are properly and adequately classified and arranged
according to a Guide.

Filing is not easy. Anyone who has experienced delay and inconvenience because of misplaced
files knows filing is not that simple. Filing is how files are organized.

Important of Files
Files are important because they are sources of information for decision making and problem
solving. They are the memory for the storage of information in the form of records.

Official files are the bloodstream of an organization. They are the documentary evidences of an
organization in the performance of its functions. And they are the important link in the information
system of the organization.

Why do we care about records?

 Records serve as the memory and evidence of public transaction.
 Records contain information that aid decision makers in ensuring transparency and
accountability in managing the affairs of the government.
 Records protect and confirm the legal and financial rights of the government and its
citizens.
 Records contain information of historical or cultural value.

Organizing the Files

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 4
 No organization should permit bits and segments of its records to be scattered randomly wherever
they happen to be created or have accumulated. Neither should an organization force the
centralization of records without regard to the practical needs of the office who uses the records.

Unless the organization is extremely small, with a file area exceptionally well located for central
access, a completely centralized file system is not desirable. On the other hand, a completely
decentralized system encourages duplicate filing, and usually results in poor equipment utilization.
With the file function distributed over the entire secretarial and clerical staff, time loss may occur
because file operation and maintenance are imposed on people who may be unskilled in the
intricacies of proper filing.

1. CENTRALIZED FILES – Records of common interest or value to many employees within an

organization can be placed under the control of one supervisor; these are frequently called the
central files. These records may include general correspondences, orders, invoices, estimates,
quotations, credit memos, etc.

Fully centralized filing can work reasonably well for the smaller agency where each organizational
unit has convenient access to the files. As the size increases, however, certain records are better
filed in the department where they originate and where they get frequent reference.

Advantages of Central location and Control:

 Responsibility is easily placed.
 There is less duplication of personnel, equipment, supplies and space.
 Better quality of work results because of the full time work of records personnel.
 There is greater utilization of filing facilities.
 All related data are kept together.
 Uniform service is provided to all departments.

CENTRALIZED CONTROL CONCEPT

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 5
There must be:
 Uniform Policy Direction
 Uniform Procedural Practices
 Uniform Files Operation
 Uniform Files Classification
 Uniform Files Description
 Uniform Scheduling and Disposal Standards
 Centralized Mail Operations
 Centralized Messengerial Services

2. DECENTRALIZED FILES – Decentralized files are records that are made and used by a single
organization unit and maintained and controlled at the point of origin. Decentralization of
records should be considered when the following conditions are present:
 Only one organizational unit is concerned with the records.
 The centralized filing unit location is too distant for adequate service.
 Information from the files must be immediately available.
 Constant reference is made to the records by one organization unit only.

In most organizations, some centralization and some decentralization is usually the answer to the
filing problems. Centralize or decentralize the files where efficient service can be given.

Factors in Organizing Files

 Nature of the records created
 Size of the agency
 Location and area of office space
 Rate of accumulation
 Equipment and supplies
 Number of personnel to handle records

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 6
 LESSON 2: Major Operations of Files Management

A large part of choosing file management is the

function of tools involved and how they benefit an
organization. Typically, an organization or
institution will benefit from file management if
they require advanced organizing, editing and
managing of files. Furthermore, the more they
need to track things like workflow, the more
important file management becomes.

Classification Operation – The key to the agency filing system for official files is the uniform
filing system. It is one of the tools for a centralized control of records system.

FILE CLASSIFICATION SYSTEM

FILE
 A cabinet with records in it
 A folder containing records
 A collection of papers involving a specific name or topic
 A class of records in a separate group or series of filing drawers
 The operation involved in arranging records in a systematic order

CLASSIFICATION
 Process of identifying and arranging records
 To classify is to organize contents according to key items and relationship

SYSTEM

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 7
  The actual application of the file guide or scheme in the file container or equipment.

LESSON 3: Kinds of Filing System

Filing System – is a plan for identifying, arranging and finding records. The principles that govern
a good filing system are efficiency, economy and simplicity.

KINDS OF FILING SYSTEM

1. ALPHABETICAL – the most widely used form of filing. It stresses the name, subject or the
important item. It can be considered the foundation for practically all filing since in most
instances, when other forms are used; the arrangement of the smaller units is usually
alphabetical.

Under the alphabetical arrangement, all materials are filed in dictionary order. If the first letter is not
sufficient for determining the proper place of the material, the second, and if necessary, the third
and the fourth succeeding letters are used.

The advantages of alphabetical filling are:

 Direct reference is provided
 A quick check is offered on misfiled material
 And common names are grouped

It is sometimes considered the “natural way to file”.

1.1. Alphabetic Name Filing (by name of individual or organization) – Records that are referred
to by name of individual or organization should be arranged in strict alphabetic sequence or
successive continuity. Correspondence from individual representing organization should be
filed under the name of organization. It is used, typically for perennial clientele and sales
control records, a kind of filing in which records for a single person or office is likely to
accumulate.

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 8
The key to an effective name filing system is the correct use of alphabetical guides. Every ten
folders or so, a tab should indicate the alphabetical location, A, Ad, Ag, etc. Each of these should
be numbered on one end of the tab (A, Ad2, etc) and all folders within that section should have
their tabs marked with the same number. In this way, an entire file can be scanned for misfiles in
minutes. To save time, these alphanumeric tabs should be lined up on the left and in different color
than the name tabs, which should be staggered on the right.

1.2. Alphabetic Subject Filing (by subject matter) – another modification of the alphabetical
arrangement of material is according to the subject or descriptive feature.

Records which are referred to by subject matter they contain should be arranged alphabetically by
subject, title or caption. Subject captions must be brief and concise, and of such nature that no
doubt will exist as to what they cover. All records on a particular subject should be kept together in
as much as each selected record fits somewhere to complete the story. Subject filing is helpful in
indicating the main classification for separate files in an office.

Common examples of subject filing include executive files, records between the central office and
its branches or extensions, interdepartmental written materials, researchers, data clippings and
notes.

Subject files are as famous as a file clerk’s bane. After all, it is often left up to the file clerk to
determine under what category to file a document – but if the clerk’s determination is not what the
boss had in mind, recriminations are likely to follow.

It is important to keep an outline of the subject filing system with all its head and sub- heads on the
file clerk’s desk so that he or she can quickly refer to it when sorting documents for filing. When a
subject filing system is used, the file clerk must be familiar

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 9
with the nature of the agency business as well as the filing system, so that he or she can
intelligently evaluate the subject of a document.

1.3. Alphabetic Location Filing (by geographic location) – records which are referred by
geographic location should be alphabetically arranged by location name, which maybe by
country, region, province, city, municipality or barangay.

The geographical arrangement is easy to understand, simple and direct, and can cover the overall
work divisions, particularly that of sales. The files are generally less widely than is frequently the
case with the other basic arrangements.

2. NUMERIC OR NUMERIC FILING (by the number assigned to records) – records are identified
by the numbers assigned to them and are referred to by their respective numbers should be
arranged in numeric sequence. They are used for such materials as bank checks, invoices,
issuances and the like. The system of number can be one to two types:

 Serial – to provide unlimited expansion

 Coded – to indicate specific types of items

Numeric filing is the most accurate and fastest filing method but has one serious draw- back, you
cannot find what you are looking for unless you already know its number.

Numeric filing will usually prove most efficient under the following conditions:

*When the records are more easily numbered the named.

 Definitely numbered cases, contracts, or jobs.
 Sharply defined groups, classes or subjects
 Records requiring extensive cross-indexing
 Records kept in several cabinet sizes or locations

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 10
*When a natural, permanent sequence suggests numbers.
 Continued activity prevents transfers
 Value remains long after transfer
 Value is closely related to dates of origin

*When records already bear identifying numbers.

 Orders and invoices known by numbers
 Merchandise records known by numbers

3. CHRONOLOGICAL FILING (by the date of the records) – simply arranges record materials
according to time sequence. Records to which primary reference is made by the date of the
records should be filed chronologically (in the order of time) by year, month, or day as
reference indicated.

The advantages of this filing system are simplicity, case of filing and a convenient signal or
reminder of unfinished work, which is shown by the material in the file with reference to a specific
date.

4. FUNCTIONAL SUBJECT-ALPHABETIC CLASSIFICATION SYSTEM (FSACS) – the

application of functional filing system is an excellent example of how records can be evaluated
the moment they are filed.

In this system records are arranged by subjects covering all activities and functions of the
organization. This system retains the simplicity of the alphabetic arrangement of subject titles and
brings together related subjects.

Steps in establishing FSACS

1. Analyze the functions of the agency and its records.
2. Make a list of all these functions and arrange them alphabetically.
3. Make a list of all subject topics pertaining to each function known as primary
classification.

ELECTRPM – Records and Property Management | Module 5 | Ms. DIANA P. DELA CRUZ 11
 4. Make a list of correlated subject topics under each primary classification and arrange them
alphabetically known as secondary topic or secondary subject classification.
5. Under each secondary topic, group together other related topics pertaining to it and
arranged them alphabetically. These are known as the tertiary classification.

After completing these steps, prepare a FILE CLASSIFICATION GUIDE which contains the various
major subject headings, together with their respective primary, secondary and tertiary subject
classifications.

Factors in Selecting the Appropriate Filing System

Filing System must be:
 Comprehensive
 Adaptable
 Revisable
 Effective
 Logical
 Economical
 Simple

Procedures on How to Convert Old Filing System to New System

 Set a cut-off date.
 Classify and file all new records in accordance with new system.
 Transfer all current records to the new system when needed.
 Segregate non-current records and transfer to storage.
 Have files audit of new files.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 2
INTRODUCTION
onfidentiality of information is a critical component

C of records management, and you

can ensure the integrity of the information only if you limit
exposure. If an organization has a retention schedule, but it
hasn’t been recently updated, it creates a lack of
confidence to destroy materials once the prescribed
retention period has lapsed. Worse yet, a records officer
may have a false sense of
security that because the organization or institution has a schedule, it must be accurate. A truly
compliant retention schedule program and disposition program should be updated in keeping with
changing laws and regulations.

Disposition is a comprehensive term that includes destruction as well as other actions, such as the
transfer of permanent records to the National Archives. After appraising

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 3
agency records, National Archives of the Philippines (NAP) authorizes either their disposal or their
transfer to the National Archives for preservation and research. Agencies must also receive NAP's
approval before lending records outside the National and Local Government Units, before retiring
them to NAP-operated record centers, and before transferring them to other National agencies,
unless exceptions have been granted. Finally, they must receive NAP's approval before
establishing or relocating their records centers and before converting permanent or unscheduled
originals to microfilm or digitized records.

In contrast to disposition, "disposal" in National usage refers to only those final actions taken
regarding temporary records after their retention periods expire. It normally means destruction of
the record content, such as by recycling or burning the record medium. The term is also used
occasionally to mean the transfer of temporary records from National and Local Government
control by donating them to an eligible person or organization after receiving NAP's approval.

LESSON 1: Records Storage, Inventory & Retention Program

Phases of the record life cycle include creation, distribution, use, maintenance, and disposition.
The last two phases—maintenance (i.e., storing, retrieving, and protecting records) and disposition
(i.e., transferring, retaining, or destroying records)—are discussed in this module.

An effective records and information management (RIM) program adheres to best practices to
assure that records that continue to have value to the organization are stored and retained (kept).
A records retention program consists of policies and procedures relating to what documents to
keep, where and in what type of environment the documents are kept, and how long these
documents are to be kept. Ideally, the time that a record should be retained is known when the
record is created because the records series is listed on a records retention schedule (RRS)—a
comprehensive list of records, indicating the length of time that the records are to be maintained.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 4
Retention policies also allow destruction of records that no longer have value to the organization.
Storing records no longer needed is costly because more floor space is used, more storage
supplies and equipment are purchased (needed), and more labor is required.

The Value of Records

Records serve as the memory of an organization, and their purpose may be administrative, fiscal,
legal, or historical. Classifying records by their value to an organization is useful for making
retention decisions as shown in Figure 6.1.

Figure 6.1. Records Values

Nonessential Records Important Records
Not worth keeping Long-term storage – seven to ten years
 Bulk mail Contain pertinent information
 Routine telephone messages Need to be recreated or replaced if lost
 Bulletin board announcements  Financial data
 E-mail and fax message after action is taken  Sales data
 Credit histories
 Statistical records

Useful Records Vital Records

Short-term storage – up to three years Permanent Storage
Helpful in conducting business operations Essential for the continuation or survival of organization
May be replaced at small cost
Active files of: Necessary for recreating organization’s legal and
 Business letters financial status
 Memos  Busines ownership records
 Reports  Customer profiles
 Bank statements  Student transcripts

Once a record is stored, it may not be stored forever. One critical step in creating a records
retention schedule is estimating the value of a record to an organization and determining how long
the record is useful. Understanding the four categories of records values—nonessential, useful,
important, and vital—is helpful when determining which records should be retained (and for how
long) and which records should be destroyed. Before preparing a records retention schedule, an
inventory of all records stored in an

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 5
organization—in individual offices or departments, in central fi les areas, or in off -site storage
locations—must be conducted.

Records Inventory
A records inventory is a detailed listing that could include the types, locations, dates, volumes,
equipment, classification systems, and usage data of an organization’s records. It usually involves
a survey conducted by each department, with a member of each department assigned the task of
inventorying its records and documenting important information about those records. Some
organizations may also conduct an electronic records inventory or a vital records inventory,
depending on the volume of records in those categories. Survey information from all departments
is incorporated into an organization-wide records retention schedule. Some organizations use bar
code and radio frequency identification (RFID) technology to speed the records inventory process.
A bar code is a coding system consisting of vertical lines or bars set in a predetermined pattern
that, when read by an optical reader, can be converted into machine-readable language. In records
and information management, bar codes are used for tracking locations of documents, folders, or
boxes of re-cords. Bar code labels may be placed on individual documents or on folder and box
labels. The use of bar code technology brings improvements in data accuracy over keyboard data
entry. Bar code technology is used extensively for applications such as cataloging of books and fi
les by libraries and archives.

Radio frequency identification (RFID) is a

technology that incorporates the use of an
electromagnetic or electrostatic radio frequency
to identify an object, animal, or person. RFID is
increasingly used as an alternative to bar
codes. The advantage of
using RFID is that it does not require direct contact or line-of-sight scanning. An RFID system
consists of three components: an antenna, a transceiver/reader, and a transponder (the tag or
chip). Using microchips to transmit encoded information wirelessly

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 6
through antennae, RFID tags are activated when placed in the transmission fi eld of a reader.
These tags convey encoded information that identifies documents, folders, or boxes. Because
information is transmitted automatically beyond line- of-sight, boxes do not need to be unpacked to
scan individual bar code labels on folders and/or documents. The result is reduced labor costs and
improved accuracy.

An example of the use of RFID is in the library of the Vatican in Italy. Two million pieces of the
library’s 40-million-piece collection, including 1.6 million books and centuries-old manuscripts, will
be tagged with RFID chips. Library staff will be able to complete the annual inventory in 1 day.
Previously, the library was closed for up to 1 month to complete the task. The RFID chips will also
allow library staff to monitor the condition of the books and their locations at all times.

When conducting a records inventory, a portable RFID reader can scan up to hundreds of folders
in a matter of minutes. The RFID tags are read as the portable handheld reader passes within
inches of the folders. Depending on the size of the fi le room, complete fi le room inventories can
often be done in a matter of hours.

Information collected during a records inventory includes

types of records (official, record copy, or non- record) and
their media— paper, electronic, or image. An official
record is a significant, vital, or important record of
continuing value to be protected, managed, and retained
according to established retention schedules. The official
record is often, but not necessarily, an original. Another
name for an official record is record copy, or the official
copy of a record that is retained for legal, operational,
or historical
purposes. The record copy is sometimes the original. For example, a document printed from an
electronic fi le is often considered the official record rather than the electronic fi le because the print
copy can be read easily. It is durable, and it is easy to use.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 7
The electronic fi le must still be retained for a week or two. However, the printed document may be
saved for two or three years, depending on the content. The office of record is an office
designated to maintain the record or official copy of a particular record in an organization.

A non-record is an item not usually included within the scope of official records such as a
convenience fi le, a day fi le, reference materials such as dictionaries, and drafts. Non- records
should not be retained past their usefulness. Typically, non-records are created, modified, and
destroyed without formal RIM procedures and are not included in a records retention program.

A records series is a group of related records that normally are used and fi led as a unit and can
be evaluated as a unit to determine the re-cords retention period. For example, purchase orders for
July are a records series. Bank statements retained for a year or longer are also a records series.
Some organizations may identify physical and electronic records series for retention purposes that
will be retained according to the records stored on electronic media. The retention period is the
time that records must be kept according to operational, legal, regulatory, and fiscal requirements.

A records inventory is also a valuable tool for helping managers decide which filing method
(alphabetic, subject, numeric, or geographic) to use.

Records Transfer
Records may be stored in an active records area for a
period of time before being moved to another storage
area when they are no longer accessed regularly.
Records transfer is the act of changing the physical
custody of records with or without change of legal title.
In other words, records are
moved from one storage area to another, but they are usually still owned by the same company.
Records are transferred when they are no longer used frequently.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 8
As records age, they are less frequently accessed and become inactive. Consequently, dates on
the records are also considered when deciding to transfer records. In most cases, the active fi les
contain the current year’s records plus those of the immediate past year.

The final phase of the records life cycle is disposition. Records disposition is the final destination
of records after they have reached the end of their retention period in active and/or inactive
storage. Records may be transferred to an archive for retention, or they may be destroyed. Inactive
storage may be housed on-site or off -site. On-site storage is storage of inactive (usually) records
on the premises of an organization. Off -site storage is a potentially secure location, remote from
the primary location, at which inactive or vital records are stored.

Archives are the records created or received and accumulated by a person or an organization in
the conduct of affairs and preserved because of their historical or continuing value.

LESSON 2: Records Disposition Program

Records Disposition refers to the systematic transfer of non-current records from office to storage
area, identification and preservation of archival records and the destruction of valueless records.

Records pile up and eventually become voluminous in a

government agency. This accumulation of records naturally
poses problems in terms of office space, equipment and
personnel. For lack of space and filing equipment, records in
some government offices at times are piled on the floor,
along the corridors, in dark
and humid corners, on top of filing cabinets, in the attics, and in some instances, at the comfort
rooms. These piles eventually become fire hazards and eye sores to the public.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 9
 Records Disposition Program is a pre-determined, well-arranged and coordinated plan of
activities for the retention, preservation and destruction of records in an agency or institution. In
order to minimize the unnecessary piling up of records, a sound program of records disposition
must be prepared and implemented. A Records Disposition Program (RDP) reduces the volume of
records kept in an office and, more important, facilitates the retrieval of newly created or frequently
used records. An RDP helps minimize an agency’s expenditures for records management.

Objectives of a Records Disposition Program

1. To save costly office space either by transferring non-current records to a more
economical storage space or destroying them;
2. To retain records used in everyday operations;
3. To preserve permanent records; and
4. To save time in locating records.

Requisites of a Records Disposition Program

A successful Records Disposition Program must have the following:

TOP MANAGEMENT SUPPORT

To a large extent, the success of the program depends on top management support. Top
Management must be aware of records management problems in the agency and the need for their
solutions. It must realize the value of records as vital tools of administration. It must initiate a
Records Disposal Program and help in its implementation. It must provide the necessary tools,
facilities, equipment and supplies for the program.

PROGRAM DIRECTIVE
A circular or directive from top management announcing the program should be issued. Program
implements should coordinate among themselves to ensure its success.

The circular should state the objectives of the program and identify the group or organization which
shall be responsible for its implementation and phasing.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 10
PROGRAM RESPONSIBILITY
Records Officer
To ensure the success of the program, a central unit should be created. This body should plan and
coordinate the program and see to it that every unit shall be responsible for it. Every unit should
participate in it. Usually, the head of the Records Division is chosen for this task.

Records Management Improvement Committee

The Records Management Improvement Committee should establish the retention periods of all
records of the agency subject to the approval of the agency head as well as the Executive Director
of the National Archives of the Philippines should become the basis in the preparation of the
agency’s Records Disposition Schedule.

Under a decentralized records operations and organizational setup, Records Management

Improvement Sub-Committees should be created to facilitate the appraisal of records with a view to
determine their retention periods. These subcommittees serve as the counterparts of the Records
Management Improvement Committee in the lower levels of the organization. Each RMI Sub-
Committee in the Division should be composed of the Section Chiefs as members with the Chief of
the Division as the Chairman, while in the Regional Office; the members should come from the
heads of branches with the Regional Director as Chairman.

The Sub-Committees should undertake initial study and appraisal of all records under its custody.
The Sub-Committee’s major role is to recommend to the RMIC the retention periods of the records
of the Division.

PHASING OF THE PROGRAM

A timetable indicating the starting date and the projected completion date of the different activities
involved in the disposition program should be prepared with the cooperation and assistance of the
officials who have had a hand in creating the agency’s records, as well as the file supervisors of
units maintaining their own files.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 11
Benefits of a Records Disposition Program
A Records Disposition Program can be expressed not only in its objectives but in its accomplishment.
First of all, the program:

SAVES SPACE
 By removing from the office those records no longer needed for daily operations;
 By removing from storage areas those records no longer needed; and
 By maintaining a regular and controlled flow of records from office to storage to
destruction.

SAVES TIME
 By clearing out unnecessary records from office files.

SAVES EQUIPMENT – it saves money:

 By preventing the unreasonable purchases of filing equipment to store inactive records in office
area;
 By providing for inexpensive storage system and equipment, and
 By releasing filing equipment for re-use through the destruction of unnecessary records.

SAVES RECORDS
 By identifying the permanently valuable records so they can be given the kind of good
treatment they deserve.

Activities in Records Disposition Program

A. RECORDS INVENTORY

A RECORDS INVENTORY is a descriptive list of the record holdings of an agency. It is usually

done by RECORDS SERIES.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 12
 Before any records disposition program can be effectively installed and implemented, an agency
should first undertake an inventory of its records. This is the initial step in developing the agency’s
Records Disposition Schedule.

OBJECTIVES
An agency conducts a records inventory for the following purposes:
 To identify and locate its records;
 To determine the volume of its records holdings;
 To evaluate the age of its records; and
 To find out the present and future needs of the agency in terms of personnel, floor space,
equipment and the like.

PREPARING FOR RECORDS INVENTORY

Before undertaking an inventory, its objectives should be established and understood not by the
persons conducting the inventory but also by all other concerned officials and employees. Those
assigned to inventory must be familiar with the operations of the different units of the agency. They
must know where the records are filed or stored, whether in safes, cabinets, storerooms, drawers
and the like.

The sequence of the inventory and the procedure to be followed in conducting it should be
planned. The starting and completion dates should be set. The procedures should be explained to
all officials and employees concerned to secure their cooperation and assistance.

ACTUAL INVENTORY
Considering that agency holdings are usually inventoried by records series and not by individual
item of file material, the volume of the records must be measured and expressed in Cubic Meters.

To guide those who are conducting an inventory, the following steps are recommended:

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 13
 a. Identify the records series to be inventoried.
b. Determine the earliest and latest periods covered by the records series to be
inventoried.
c. Inventory by “file stations”. (A file station may be a cabinet or group of cabinets placed
separately).
d. Accomplish NAP Form No. 1, RECORDS INVENTORY AND APPRAISAL – Part I (Records
Inventory portion).

B. APPRAISAL OF RECORDS

RECORDS APPRAISAL is the process by which records are carefully and systematically studied
and analyzed for the purpose of establishing their respective values.

Continuing activities and transaction of any agency will necessarily result in the accumulation of
records. It is, therefore, necessary to evaluate and appraise records on a continuing basis. The
retention value of records must conform to changes in conditions and circumstances of agency
operations. Records Appraisal plays a major role in a records disposition program because it is in
this stage where non-current records are determined for permanent preservation, for storage or for
destruction or sale.

OBJECTIVES
 To establish a reasonable and acceptable retention period for various types of records.
 To identify records of no value which should be destroyed immediately.
 To identify records that should be transferred from file stations to records storage areas of
the agency.
 To identify records of permanent (historical or research) value that should be properly
preserved or sent to the archives.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 14
GUIDES IN APPRAISING RECORDS
Qualified and competent officials or employees engaged in appraising records can perform
their tasks easily if they consider:
a. Relationship of records under appraisal with other current operating records of the agency;
b. Relationship of records being appraised with the existing workflow and other prescribed
functions of the agency.
c. Continuing value of the records as archival materials;
d. Definite areas for affecting economy of operations.

Since appraisal of records is a process that involves sound judgment, only qualified personnel should
be assigned to the task. These are men who have:
a. A thorough knowledge of the organization, including its history, policy, method,
procedure, operation and transaction;
b. A thorough knowledge of the basic laws, rules and regulations governing records
disposition;
c. An analytical ability, maturity of judgment, including imagination and special aptitude in
determining explicit values of records; and
d. A thorough understanding of the principles and objectives of records evaluation.

VALUES OF RECORDS
The values of records may be considered through the following perspective: first, from the agency
point of view, in terms of their immediate or future utility to the agency for administrative, legal, or
fiscal and second, from the archival point of view, in terms of their permanent historical or research
value. The latter involves documentary information with enduring values, particularly about the
agency, those which facilitate research, and those which protect the civil, legal or property rights of
individual person.

Essentially, records may be classified into two major value categories, namely:
a. Time value which generally refers to a specific period of usefulness; and

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 15
 b. Utility value which concerns the nature of the usefulness of the records to the agency’s
operations.

TIME VALUE – Based on time, a particular record may be appraised as either temporary or a
permanent value.
1. Records acquire temporary value when they have served the purposes for which they were
created or when action on them have been accomplished or terminated. However,
administrative or legal considerations require that there are records to be kept in the agency’s
storage area as long as they can be useful in supporting claims, complaints or cases that may
be filed in the future by private, public or individual or corporate entities.
2. Records of permanent value are those which are worthy of preservation because of their
administrative, legal or archival (research or historical) significance.

Records of this group are those that reflect:

 The agency’s organization and administrative history;
 The agency’s policies and the reasons for their adoption;
 The agency’s methods and procedures;
 The agency’s specific individual transactions, including personnel service, in so far as they
may be presumed to have a general and continuing interest; and
 The general, social, economic or other conditions which the agency dealt within its
transactions.

UTILITY VALUE – Temporary or permanent records are further appraised on the basis of various
categories of their usefulness. Those are:

Administrative Value
Records of this value as administrative tools to accomplish the mission of the organization. Some
examples are: Directive/ Issuance, Utilities and Services, Office Methods and Procedures,
Correspondence, Reports.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 16
Fiscal Value
Records of fiscal value are those which serve as tools in discharging the financial obligations of the
agency. While these records also have considerable administrative value, greater importance is
given to their fiscal value as time goes by since they can be used to protect the agency against any
possible court of administrative action. Examples: payrolls, vouchers, official receipts, budget
estimate.

Legal Value
Records of legal value are those which states legal decisions and opinions, either of a permanent
or temporary character. These records generally given protection to the civil, legal, property and
other rights of the citizens. Examples: titles, contracts, and claims.

Archival Value
This refers to the historical or research significance of records or documents – values which may
be derived from records such as the creation and development of an agency, its various policies
and procedures.

a. Historical – This pertains to the utility of records as evidence in the narration or interpretation
of significant events, persons, entities and places in the nation’s past long after their
administrative, legal or fiscal value has expired. One example is records dealing with an
agency’s development – its organization, functions, policies, standard operating procedures
and the like.

b. Research – This deal with the usefulness of records as primary materials in studies of
methods, procedures, operations and the like, in education, engineering, medicine, public
administration and other fields. Examples are statistical summaries, directives/issuances,
journals, and manuals.

Valueless Records
These are record materials which are no longer useful in the operation of an agency as well as the
government as a whole.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 17
C. ESTABLISHMENT OF RETENTION PERIODS

Records vary with respect to their period of usefulness to the agency which maintains them. The
retention period of each record series should, therefore, be determined by the agency itself once
received or created to satisfy all pertinent administrative, fiscal and legal requirements.

A 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.

GUIDES in establishing the retention periods:

 Importance of the records as a tool in administrative and substantive operations;
 Frequency with which an agency needs the records in its current operations;
 Values of the records determined after appraisal;
 Costs involved in retaining the records in the agency as compared to its immediate disposal;
 Relevance of the records in terms of the agency’s functions and procedures.

D. RECORDS DISPOSITION SCHEDULE

RECORDS DISPOSITION SCHEDULE (RDS) – refers to a 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.

A Records Disposition Schedule should:

 Cover all records created and maintained by an agency;
 Provide for an accurate description of each record series;
 State the number of years during which a record series should be kept before it is either
transferred to a Records Center or to the archives or finally sold or destroyed.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 18
GUIDES in the Development of RDS
 NAP Form No. 1, Records Inventory and Appraisal
 NAP Form No. 2, Records Disposition Schedule
 NAP General Circular No. 1 and 2 series 2009
o General Records Disposition Schedule (GRDS) common to all Government Agencies
 NAP General Circular No. 3 series 2011
o General Records Disposition Schedule (GRDS) common to all Local Government Units
(LGUs)

E. PREPARATION SUBMISSION and APPROVAL of RDS

The Records Disposition Schedule (RDS) should be prepared and reviewed by qualified agency
personnel before it is approved by the Agency Head. It is then forwarded in four
(4) copies to the Executive Director, National Archives of the Philippines for review and approval. The
original of the approved RDS is returned to the agency.

An approved Records Disposition Schedule should be regularly updated through revision or

amendment to reflect significant changes in the functions of the agency. Such amendment or
revision, however, is subject to the approval of the Executive Director, National Archives of the
Philippines.

F. APPLICATION OF THE RDS

A Records Disposition Schedule remains fruitless unless it is applied. Where there is no existing
schedule or where it is overlooked, valueless records will likely accumulate to bring more costs for
the agency. The schedule guides all records personnel in the disposition of records. To derive
maximum benefits from the RDS, the agency should fully and systematically implement it.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 19
ACTIVITIES INVOLVED in the APPLICATION of RDS are:
 Retirement of inactive and non-current records (temporary or permanent) by transfer from
active files to a more economical storage area;
 Retention of active records;
 Preservation of records of permanent value; and
 Disposal of records which are no longer needed for whatever purpose.

To ensure the effective implementation of an RDS, the following control measure should be made:
 Periodic review of files to determine other records to be scheduled for disposition as well as
periodic review of approved retention periods;
 Annual check of disposal activities through the inspection of storage files and
examination of disposal reports;
 Inspection of facilities in the maintenance of current records and preservation of
permanent records; and
 Review of request for additional filing equipment. Filing cabinets periodically emptied of
valueless records disposed of should be reused for incoming records.

a. RETENTION OF ACTIVE RECORDS

One of the consequences of the application of a Records Disposition Schedule is the retention of
active records. The general rule is to retain those that are absolutely needed in day-to-day
operations of the agency. Such records include those that deal with completed business but which
may be used as reference in continuing agency transactions.

b. PRESERVATION OF PERMANENT RECORDS

Permanent records should be preserved because of the value attached to them. Consistent with
public interest, their preservation requires special treatment to prevent

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 20
their loss, destruction, mutilation, and the like, and to maintain their originality, integrity, and
reliability.

Since these records have unlimited retention periods, they should be preserved as soon as
practicable immediately, upon their determination. Records of archival value, should, however, be
kept in the National Achieves.

c. TRANSFER OF RECORDS

To reduce agency files, all non-current records or records that deal with completed transaction but
are not needed in the day-to-day agency operations should be systematically transferred to
appropriate records storage areas. Inactive files or records no longer referred to but whose
retention period has not yet expired should also be transferred.

Inactive or non-current records should be kept in a separate storage area in the agency, or in the
Records Center, National Archives of the Philippines.

1. Transfer to agency records Storage area

Efficient storage of records is vital to an agency’s cost reduction program. The records in the
storage areas are not simply dumped and forgotten. They should be filed and maintained
systematically. Equipment should therefore be provided for filing purposes that shall utilize to
the fullest every available unit of floor space with the necessary pinpoint reference service
conveniently and economically furnished. Such storage point may be located in less
accessible places because referrals for records in these centers would not be frequent.
However, these records should easily be retrieved when needed. Naturally, these records
should be placed under the responsibility of qualified and dependable personnel with
sufficient authority to carry out the objectives of transferring such records to storage areas.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 21
 2. Transfer of Records to Records Center, National Archives of the Philippines.

Records of temporary value which may still be needed for reference purposes may be
transferred to the Records Center, NAP, subject to the approval of its Executive Director who
should provide the necessary instructions or details for the transfer of such records.
Documents in the Records Center are available for use by the public, subject to rules and
regulations as may be prescribed by the Executive Director, National Archives of the
Philippines.

3. Transfer or Loan of Records from the Agency to Another

a. Records may be permanently transferred from one agency to another subject to the
following conditions:
1. When specifically authorized by law, a decree or an executive order.
2. When required in the performance of a function that has been transferred through
statute, a decree or an Executive Order.
3. When the Executive Director of National Archives of the Philippines authorizes the
transfer.

b. Records of abolished, merged or reorganized agencies or units of agencies: Unless

otherwise provided by law, decree of executive order, all records of abolished
agencies or units thereof should be transferred immediately to the National Archives
of the Philippines for inventory, appraisal, preservation or disposition (Rule 37, Article
58, RA 9470 dated May 21, 2007).

c. Loan of Records
1. Loan of records for an indefinite period may be arranged subject to the
approval of Executive Director, National Archives of the Philippines.
2. Loan of records for a specific period may be arranged in accordance with
regulations if such loan is in the interest of the service.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 22
 Nothing, however, should prevent heads of agencies from furnishing records in their custody
for use by the Courts of Justice, the Congress of the Philippines or its committee, the quasi-
judicial or administrative bodies duly authorized to require the production of such records.
(RA 9470)

4. Transfer to the Archives Collection and Access Division, National Archives

of the Philippines.

Records of archival of permanent research value should be forwarded to the Archives

Collection and Access Division for preservation. The transfer of records to the ACAD is
likewise subject to the rules and regulations that the Executive Director of the National
Archives of the Philippines may prescribe from time to time. Extreme care should be taken in
the inventory, packing and delivery of these records to preserve their physical and intrinsic
make-up.

d. DISPOSAL OF RECORDS

DISPOSAL OF RECORDS is the act of removing valueless records from existing agency files or
storage areas and getting rid of them by selling, by landfill, by shredding or by any other way of
destroying them.

1. Modes of Disposal
Destruction means any action that would ruin or reduce to nothing the structure, organic
composition or condition of the physical material that makes up a record.

a. Sale – The disposal of records by sale should be considered if the transaction would
afford the government a fair return. Under the law, the disposal by sale of valueless
records of the government may be made only through public bidding to determine the
highest price available. Each agency shall conduct public bidding for the disposal of its
valueless records following the pertinent provision

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 23
 of public bidding and awarding of contracts of RA 9184. The NAP is furnished with a
copy of the contract.

b. Shredding – This is a process by which records are first fed into a machine to be cut into
small pieces to prevent unauthorized reading or reproduction of its contents.

c. Landfill – Disposal of solid waste, such as papers and the like, which are buried between
layers of dirt and other materials in such a way as to reduce contamination of the
surrounding environment. It is a carefully designed structure that is built into or on top the
ground in which trash is isolated and will be kept dry and will not be in contact with air.

However, the National archives of the Philippines shall conduct public bidding for the sale of
valueless records every year to determine the Official Buyer for the government’s valueless records
and whose services may also be availed by other agencies.

Agency records are then sold at approved prices to the authorized buyer. Payment of sale of
valueless records shall be made to the Cashier of the owning/requesting agency. Proceeds
generated from the sale of valueless records shall be remitted to the National Fund, Local
Government Fund or to the Corporate Fund.

2. Records Disposal Procedure

The National Archives of the Philippines enjoin all government agencies to:

a. Request NAP Authority to Dispose – Refrain from selling or destroying any record in its
custody without having first secured authority from the Executive Director of National
Archives of the Philippines.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 24
 b. Request for Disposal – Each agency shall submit to the National Archive of the
Philippines four copies of accomplished NAP Form, “Request for Authority to Dispose of
Records” duly approved by the Agency Head or his authorized representative.

c. Records Examination – Upon receipt of the request for authority to dispose of records,
the Chief of the Records Management Services Division, acting for the Executive
Director, assigns a Records Management Analyst, to appraise and examine the
disposable records of the requesting agency and recommend the manner or method of
disposal, such as by sale, shredding landfill or burying in the “Records Management
Analysis Report”.

In cases where the records requested for disposal are declared as non-recorded materials by the
requesting agency, it shall be the sole responsibility of the NAP to determine whether these
records are considered as such. If found to be non-recorded materials, they can likewise be
included in the actual disposal of valueless records provided they are no longer needed in the
everyday operation of the agency.

d. Disposal Authority – The Executive Director of the National Archives of the Philippines is
authorized to direct destruction or disposal of records and issue NAP Form “Authority to
Dispose” indicating the manner of disposal.

The NAP shall issue the authority to dispose of records to the requesting agency who conducted its
own public bidding only upon receipt of a copy of the contract.

e. Actual Disposal – The agency concerned shall be notified of the schedule date of actual
disposal and likewise notify the Commission on Audit representative to witness said
disposal. Actual disposal shall be witnessed by the representatives of NAP, COA and the
agency concerned.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 25
 f. Certificate of Disposal – NAP Form “Certificate of Disposal” shall be prepared in three
copies indicating the records series, manner, date and place of disposal, volume of
records disposed of and the amount and official receipt number in case of sale.

The original copy shall go to the agency concerned, another copy for the NAP and another for the
COA. It shall serve as report on the disposal of valueless records.

ELECTRPM – Records and Property Management | Module 6 | Ms. DIANA P. DELA CRUZ 26