Assessment of Records Management in the University of the Philippines

A SAMPLE ASSESSMENT OF RECORDS MANAGEMENT PRACTICES IN THE UNIVERSITY OF THE PHILIPPINES TOWARD A DEVELOPMENT OF A SELF-AUDIT TOOL

RECHELLE OLAGUER COMIA

SUBMITTED TO THE SCHOOL OF LIBRARY AND INFORMATION STUDIES UNIVERSITY OF THE PHILIPPINES DILIMAN UNIVERSITY OF THE PHILIPPINES SYSTEM IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF

MASTER OF LIBRARY AND INFORMATION SCENCE

JULY 2015

This special problem entitled, “A Sample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a Self-Audit Tool”, prepared and submitted by Ms. Rechelle O. Comia in partial fulfillment of the requirements for the degree of Master of Library and Information Science, is hereby accepted.

BENEDICT SALAZAR OLGADO Adviser

Accepted as partial fulfillment of the requirements for the degree of Master of Library and Information Science.

KATHLEEN LOURDES B. OBILLE Dean

UNIVERSITY OF THE PHILIPPINES SYSTEM SCHOOL OF LIBRARY AND INFORMATION STUDIES UNIVERSITY OF THE PHILIPPINES DILIMAN 3/F GONZALEZ HALL 1101 QUEZON CITY, PHILIPPINES Telephone: (632) 981-8500 loc. 2870, 2871 Telefax: (632) 981-8500 loc. 2869 E-mail: [email protected]

28 July 2015

Prof. Kathleen Lourdes B. Obille Dean School of Library and Information Studies U.P. Diliman, Quezon City

Dear Prof. Obille: After having read the special problem of Ms. Rechelle O. Comia entitled, “A Sample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a Self-Audit Tool”, and after having made the necessary suggestions for improvement which were incorporated in the final draft, I recommend that this special problem be accepted in partial fulfillment of the requirements for the degree of Master of Library and Information Science.

Sincerely yours,

EIMEE RHEA C. LAGRAMA Reader

UNIVERSITY OF THE PHILIPPINES SYSTEM SCHOOL OF LIBRARY AND INFORMATION STUDIES UNIVERSITY OF THE PHILIPPINES DILIMAN 3/F GONZALEZ HALL 1101 QUEZON CITY, PHILIPPINES Telephone: (632) 981-8500 loc. 2870, 2871 Telefax: (632) 981-8500 loc. 2869 E-mail: [email protected] THESIS/SPECIAL PROBLEM OPEN ACCESS PERMISSION I, Rechelle O. Comia, author of the special problem entitled “A Sample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a Self-Audit Tool”, submitted to the UP School of Library and Information Studies as partial requirement for the degree of MASTER OF LIBRARY AND INFORMATION SCIENCE, do hereby grant to the UP SLIS a “nonexclusive worldwide, royalty-free license to reproduce, publish and publicly distribute copies of said special problem in whatever form subject to the provisions of applicable laws, the provisions of the Intellectual Property Rights Policy of the University of the Philippines and any contractual obligations” (Art.7, Revised UP IPR Policy, June 3, 2011). Specifically, the following rights are hereby granted to the UP SLIS: 1. to upload a copy of this work in the UP SLIS theses database and in any other of its databases available on the public internet; 2. to publish the work in the UP SLIS Journal of Philippine Librarianship or any of its subsequent journal publications, both in print format and online; and 3. to give open access to above-mentioned work, thus allowing “fair use” as defined in the Intellectual Property Code of the Philippines, provided, that, I be properly acknowledged and cited as the author of the work.

__________________ RECHELLE O. COMIA LIMITED ACCESS AUTHORIZATION (For Potentially Patentable Thesis/Dissertation) TITLE:

A Sample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a Self-Audit Tool AUTHOR: Rechelle O. Comia ADVISER: Prof. Benedict Salazar Olgado READER: Ms. Eimee Rhea C. Lagrama DATE SUBMITTED: 28 July 2015 DEGREE: MASTER OF LIBRARY AND INFORMATION SCIENCE Permission is given for the following people to have access to this thesis: Available to the general public Available only after consultation with author/thesis adviser Available only to those bound by confidentiality agreement

Rechelle O. Comia Student

Benedict Salazar Olgado Adviser

Yes No No

Kathleen Lourdes B. Obille Dean

BIOGRAPHICAL DATA

Name

:

Rechelle Olaguer Comia

Date of Birth

:

30 April 1986

Place of Birth

:

Caloocan City

Educational Attainment

:

Master of Library and Information Science School of Library and Information Studies University of the Philippines Diliman July 2015

:

Bachelor of Arts in Araling Pilipino, cum laude Concentration: Philippine Literature and Psychology College of Arts and Letters University of the Philippines Diliman October 2007

Professional Eligibilities

:

Certificate of Eligibility # 10130354 Pursuant to PD # 907 Civil Service Commission 2 November 2007

Present Position

:

Executive Assistant I Office of the President University of the Philippines System Diliman, Quezon City October 2010 – present

Organizational Affiliation

:

UP Alumni Association (UPAA) 2015-2016 Member

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ACKNOWLEDGEMENTS

This study would not be possible without the kind help and support of my family, friends, mentors, and colleagues. I am deeply thankful to my adviser, Prof. Benedict Salazar Olgado, for his support, advices, valuable comments and expert guidance throughout the course of my study. Without his guidance, this endeavor would not be completed on time.

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am also sincerely grateful to Ms. Eimee Rhea C. Lagrama for sharing her precious time in providing critical comments and suggestions to further improve my study. To my friends and colleagues in the University of the Philippines who also call for better UP services through the efficient management of records, thank you for sharing your valuable insights and experiences. My heartfelt thank you goes to Ate Anna, Ate Nor, Ate Dulce, Ate Loise, Ate Jo-An, Ate Agnes, Ate Remy, Ate Grace, Ate Lorna, and of course to my OP family, especially to Ma’am Chit and Ma’am Nette. Thank you for your patience and assistance. I am also thankful to Shayne, Chad, and Donna for fruitful discussions and brainstorming sessions. I am sincerely grateful to President Alfredo E. Pascual and his team for their support and confidence in me. Their approval of my request to conduct the study in their respective offices facilitated the completion of this study. I am also acknowledging with profound gratitude, the full support and love of my family – my parents, Rolando and Cecille; my siblings, Ronnel, John Rhey, Precious May, Monica Shayne and Eloisa Marie; and of course my husband and son,

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Michael and Yves. You are my inspiration to keep going. I love you all from the bottom of my heart. Lastly, I am giving all the honor and praises to our Lord for all His blessings and guidance for me to accomplish my goals in life. Thank you all for being part of this endeavor.

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DEDICATION

To my loving husband, Michael, whose love and support provided me the strength to achieve my dreams; to my dearest son, Yves, for being my ultimate source of inspiration; and to Nanay and Tatay, for sacrificing everything to provide the best education for their children.

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ABSTRACT

For more than a hundred years as the leading university in the Philippines, the University of the Philippines (UP) has long struggled in managing its records. A number of studies on records management in the University confirm and illustrate this. The results of the assessment and self-audit conducted in this study, through the best practices of ISO 15489 and RA 9470, also suggest that same observation. The self-audit tool measured that UP’s compliance with ISO 15489 and RA 9470 is only at the low rate of 13%. Though the University achieved 24% for partial compliance on some of the provisions, the sum is still less than 50%. The very high rate of non-compliance (63%) should be a wakeup call to every stakeholder of the University that the conduct of a comprehensive study and formulation of immediate and long-term solutions about the current status of records management in the University are ardently needed. Moreover, the assessment highlights that UP: (1) has no official central records office; (2) has no established/in place records management program and common tools; (3) has no proper documentation of the established practices; (4) is unfamiliar with the provisions ISO 15489 and RA 9470; (5) has no systematic staffing pattern, with few qualified records officers who are not evenly distributed throughout its units, and constantly changing records personnel; (6) has no proper training program for its records personnel; (7) is struggling from a number of records issues, particularly the inadequate records storage; (8) failed to address the problems cited in earlier studies and neglected the recommendations stated therein; and, (9) ix

has started to manage electronic records despite the current problematic management of paper records. Given these, the University should then exert efforts on managing its records effectively as the problems associated with inefficient records handling deter smooth business transactions within the University and put the vital records of the University in peril.

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TABLE OF CONTENTS Chapter

Page

I. INTRODUCTION ………………………………………………..…..…..

1

Background of the Study ………………………………………..…... Statement of the Problem ………………………………………..…... Objectives of the Study …………………………………………........ Significance of the Study …………………………………………..... Scope and Limitations of the Study ………………………..……...…

1 12 13 14 15

II. REVIEW OF RELATED LITERATURE ……………………………..

17

On Records Management in UP …………...………………..…….…. On Records Management Practices in Government Units and Other Universities (Local/International) ….……………………….… On the Assessment and Implementation of ISO 15489 …….....….…. On Records Management Audit ………………………………….….. Conceptual Framework of the Study ……...……………………..…... Definition of Terms ……………………………………………….….

17

III. METHODOLOGY………………………………………….………......

39

Research Design .………………………………………………….…. Population and Sample………………………………………….……. Research Instruments ………………………………………….……... Data Collection …………………………………………………..…... Analysis of Data ……………………………………………….……...

39 40 41 43 43

IV. PRESENTATION, ANALYSIS AND INTERPRETATION OF DATA ………………………...…………….

45

Profile of UP Respondents ………………………………………..….. Overview on the Subject Units and its Records Management …….…. The Records of the Subject Units ..…………………….……............... Records Management Practices in UP …………………….…….….... Management of Archival Records in UP …………………………….. UP’s Compliance with the General Provisions of ISO 15489 and RA 9470 ………………………...……..……….……. Common Records Problems in UP………………………………....…. Support Towards a Standard UP Records Management Program …….

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23 27 30 30 33

45 51 59 62 102 103 106 112

V. SUMMARY, CONCLUSIONS AND RECOMMENDATIONS…........

116

Summary ……………………………………………………..………. 116 Conclusions ……………………………………………………..……. 123 Recommendations ……………………………………………..……... 125 REFERENCES ………………………………………….…………………... 129 APPENDICES I-A I-B II III-A III-B III-C III-D IV

– Results of Self-Audit Tool ……………………………..……. – Proposed Self-Audit Tool ……………………………....……. – Fact File on UP Units .…………………………………...…... – List of documents requested from the Main Respondents …... – Questionnaire for Main Respondents….………………..……. – Questionnaire for Heads of Units ……………………..……... – Questionnaire for Selected Records Clients …………..……... – Covering Letters ………………………………………….......

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134 196 199 220 221 229 230 231

LIST OF TABLES Table

Page

1. Distribution of Respondents by Group …………………….…….……

46

2. Distribution of Main Respondents by Unit ……………………….…..

47

3. Distribution of Main Respondents by Position Title ………………….

48

4. List of Educational Attainment of Main Respondents ………………..

49

5. Distribution of Main Respondents by Years of Service in UP ………..

50

6. Distribution of Main Respondents by Years of Service as Records Officer/Personnel ……………………….

50

7. Types of Records Managed by UP ………………………………........

60

8. Formats of Records Managed by UP (in percent) …………………….

61

9. Records Creation Control in UP ………………………………………

64

10. Records Registration Systems in UP ………………………………….

67

11. Elements Captured by UP During Records Registration ………………

71

12. Classification of UP Records ………………………………………….

73

13. Records Storage Facilities in UP ………………………………………

77

14. Status of UP Records Storage ………………………………………….

78

15. Finding Aids used by UP Units ……………………………….……….

83

16. Accommodation of Records Request in UP …………………………..

85

17. Tracking System for Active and/or on Loan UP Records ……....……..

86

18. Purposes of ecords Retention and Disposition Schedule in UP ……….

89

19. Records Management Tools Used by UP ………...…..……………….

93

20. Electronic Records Management in UP ……………………….………

99

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21. Perceived Records Issues of Heads of Units …………….…..……….. 107 22. Common Difficulties Experienced in Storage and Retrieval of Records in UP .……………………………………… 109 23. Perceived Causes of Records Problems in UP ……………………….. 110 24. Perceived Status of Records Management in UP …………………….. 111

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LIST OF FIGURES Figure

Page

1. UP organizational chart ……………………………………………….

8

2. The eUP core systems …………………………………….………..…

9

3. Venn diagram of ISO 15489 and RA 9470 ……………….…………..

31

4. Schematic diagram on the assessment of

UP’s records management practices ………………………………….

32

5. Samples of uniform titles/codes for creation of UP records…………..

65

6. UP Document Tracking System (UP DTS) and UPLB’s DTS ……….

69

7. UP Manila’s Document Assessment and Tracking System ………….

70

8. Electronic document management system (Laserfiche) used by OP and OSU ………………………………….……………...

71

9. UPLB-RMO’s indexing and cross-referencing system ………………

74

10. UP’s records storage facilities and areas ……………………….…….

79

11. Securing access to UP records ………………………..………….…...

82

12. Forms used by UPLB-RMO for on loan records …………..…………

85

13. OSU records for transfer to the University Archives and Records Depository (UARD) …………………………..…..…………

90

14. UPLB-RMO’s records transfer procedure …………………..………..

91

15. Electronic records management in UPLB-RMO ……………..……… 100 16. The eOSU Project ……………………………………………………. 102

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CHAPTER I INTRODUCTION

Background of the Study Records serve as the memories, the raw materials for decision-making, and the basis of legal defensibility of an institution (Külcü, 2009) thus they are considered one of its indispensable resources. Likewise, for a century old academic institution like the University of the Philippines (UP), records play a vital role in its existence. As such, the assessment of how the University handles its records through the years is a key area of research. This is the main purpose of this endeavor: to give the stakeholders of the University a glimpse on how it manages records in line with prescribed standards and legal mandates such as the ISO 15489 and RA 9470. Records and its Management According to ISO 15489, “records are information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business” (2001, p. 3). The Australia State Records Act 1998 elaborated that a record “is any document or other source of information compiled, recorded or stored in written form or on film, or by electronic process, or in any other manner or by any other means” (Sec. 3[1]). From the early form of records to its current technology-aided form, a number of efforts dealing with its complexities have been documented in various literatures. One major effort is the standardization of records management was

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launched in 2001.

The development of ISO 15489-1:2001 (Information and

Documentation – Records Management) highlighted the increasing international recognition for records management. In the Philippines, an effort to promote an effective recordkeeping, the National Archives of the Philippines Act of 2007 (Republic Act No. 9470), was passed into law in 2007. It “strengthens the system of management and administration of archival records” (National Archives of the Philippines [NAP], 2007, p. 1). These two regulations are considered the key tools in assessing the records management practices in the country. The mere presence of records means the need to have a records management practice. Records management is the: field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. (ISO 15489-1:2001, p. 3) Additionally, the National Archives and Records Administration (NARA) in the United States describes it as the “planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition in order to achieve adequate and proper documentation of the policies and transactions” (National Archives and Records Administration [NARA], 44 U.S.C. Chapter 29, § 2901. Definitions). It includes: setting policies and standards; assigning responsibilities and authorities; establishing and promulgating procedures and guidelines; providing a range of services relating to the management and use of records; designing, implementing and administering

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specialized systems for managing records; and, integrating records management into business systems and processes. (ISO 154891:2001, p. 4) Just like other institutions, higher education institutions like UP are also confronted with the complexities of managing its records. A way to cope with these complexities is through an effective implementation of a sound records management program. Standardization of Records Management Practices In this information age, the effort to standardize international best practices in records management is an exigency. The ISO 15489 was the product of a collective international effort to develop an international standard out of the Australian Standard 4390 or AS 4390 (1996), an Australian standard for records management. It was developed “in response to consensus among participating ISO member countries to standardize international best practice in records management” (ISO15489:1-2001, Introduction). The AS 4390 was able to capture international attention because it is already technically sound and gives good foundation for a records management program (Carlisle, 1997). After almost four years of developing an international standard out of the AS 4390, the ISO 15489 was finally issued in September 2001 (Cumming, 2003). It came out in two parts. Part 1: General, contains “guidance on managing records of originating organizations, public or private, for internal and external clients” (ISO 15489:1-2001, Clause 1) and “elements of records management and

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defines the necessary results or outcomes to be achieved” (ISO 15489-2:2001, Introduction). While, Part 2: Guidelines: …is an implementation guide to ISO 15489-1 for use by record management professionals and those charged with managing records in their organizations. It provides one methodology that will facilitate the implementation of ISO 15489-1 in all organizations that have a need to manage their records. It gives an overview of the processes and factors to consider in organizations wishing to comply with ISO 15489-1. (ISO 15489-2:2001, Clause 1)

In the Philippines, the RA 9470 otherwise known as the National Archives of the Philippines Act of 2007 was issued to “empower better coordination in the management of government records and public archives” (Official Gazette, 2009, p. 1715). The law also reorganized the National Archives of the Philippines (from the abolished Records Management and Archives Office [RMAO]) which is the agency in-charge of the implementation of objectives and provisions of the RA 9470. The law is interpreted according to the Article I, Section 2 of RA 9470: It is the policy of the State to protect, conserve, promote and popularize the nation’s historical and cultural heritage and resources. The State shall pursue, conserve and promote the Filipino cultural heritage and resources including the documentary records of Filipino culture, history and governance. The State shall give utmost priority for the safeguard, protection and preservation of its public documents and records, not only as fundamental instruments for efficient and effective governance but also as essential tools for the preservation of the country’s history and cultural memory. Towards this end, all public records with enduring value, held by government offices, including, but not limited to, all branches of government, constitutional offices, local government units (LGUs), government-owned and –controlled corporations (GOCCs), state

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universities and colleges, Philippine embassies, consulates and other Philippine offices abroad shall be transferred to a permanent government repository for proper management, control and regulation of record disposition. (RA 9470, Article I, Section 2) The purposes of the act are to: -

-

strengthen the existing system of management of public records and administration of government archives; mandate government accountability to ensure that full and accurate records of the affairs of the national and local government units are maintained and preserved; enhance public confidence in the integrity of public recordkeeping and management; ensure accessibility of public records relevant to the promotion and preservation of Philippine cultural heritage; and, support the safekeeping of private records with archival value. (NAP, 2007, p. 1)

The provisions of ISO 15489 and RA 9470 were the foundation of this study in assessing the records management in the University. The use of ISO 15489 necessitated the inclusion of the RA 9470 as it prescribes the recognition of the regulatory environment. The University of the Philippines and an Overview of its Records Management Practices UP was founded on 18 June 1908 through Act No. 1870 of the Philippine Assembly. It was mandated to “give advanced instruction in literature, philosophy, the sciences and arts, and to give professional and technical training to every qualified student regardless of age, sex, nationality, religious belief and political affiliation” (University of the Philippines [UP], 2015, University History). It celebrated its 100 years of existence in 2008. During UP’s centennial year it was gifted with a new charter (Republic Act No. [RA] 9500) instituting UP as the only

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national university in the country.

The RA 9500 (2008, Sec. 3) mandated UP to

serve and lead as a teaching university, as a graduate university, as a research university, as a public university, and as a regional and global university. Being a global university, complying with international standards should be a University concern. One important international standard for consideration is the ISO 15489.

Compliance with such standard ensures the University’s smooth

business process and to safeguard its valuable records for its continuing existence. UP’s adherence to the RA 9470 must also be strictly monitored. Being a government unit, the records of UP are considered public records. According to RA 9470, public records refer to: records or classes of records, in any form, in whole or in part, created or received, whether before or after the effectivity of this Act, by a government agency in the conduct of its affairs, and have been retained by that government agency or its successors as evidence or because of the information contain therein. (RA 9470, 2007, p. 5) Ignorance about and non-compliance with RA 9470 may jeopardize the integrity of the University and its records personnel as it involves punishment under the law. The current records management practices of UP differ from one office to another. These may be attributed to the structure of the University being a system of seven (7) constituent universities and an autonomous campus located strategically throughout the country. The UP campuses are UP Diliman, UP Los Baños, UP Manila, UP Visayas, UP Open University, UP Mindanao, UP Baguio, and UP Cebu. This system of campuses equips the University to better perform its mandate of

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serving the nation. The constituent universities are governed by chancellors, while the UP President manages this system of campuses (UP, 2015, Administration). The University President is the “chief academic officer, head of the university faculty and the chief executive officer of the University” (RA 9500, 2008, Sec. 14). The management of the constituent university “is vested in the Chancellor insofar as authorized by the Board and the President of the University” (RA 9500, 2008, Sec. 18). Having a system of campuses does not exempt the University from implementing a standard in records management throughout its campuses, as supported by the OneUP principle.

OneUP is a strategic initiative under the

administration of President Alfredo E. Pascual.

It promotes change in the mindset

of the constituents of the University that they are one despite the differences in location and specialization (Pascual, 2011). This principle intensifies the need for a standard records management in the University. The study aims to highlight some of the similarities on the records management practices throughout the University. Aside from OneUP, another strategic initiative of the Pascual administration, which may concern records management, is the eUP Project. This is the flagship project of the Pascual administration.

It seeks to integrate, harmonize, and

interoperate Information and Communication Technology (ICT) systems and infrastructure across the UP System.

This project is envisioned to bring the

University to new levels of academic and operational excellence, thus allowing UP to be of greater service to the nation (eUP, 2012, About eUP).

Figure 1. UP Organizational Chart Provided by the Office of the Secretary of the University and of the Board of Regents (OSU), 2012. 8

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Figure 2. The eUP core systems. Reprinted from eUP Project by the University of the Philippines System, 2015. Retrieved from http://e.up.edu.ph/components/. Reprinted with permission. As seen in Figure 2, no comprehensive records management system was included in the core systems of the eUP Project. Only student academic, human resource, financial management, procurement, campus management, and executive information systems were the systems included in the project. It may not be too late for the administration to consider a comprehensive component in managing the records of the University. The study also aims to inform all the stakeholders of the

10

University about the importance of a harmonized records management in the smooth business process of the University. At the onset of the study, the researcher was able to unfold some of the records management issues in the University.

These were based on the initial

interview conducted by the researcher during the development of a research topic. All these issues are further discussed in Chapter IV. Absence of a standard records management program. The state of the records management of institutions may be viewed equivalent to the type of service it offers. In UP, the absence of a standard records management program incites various offices to use their own style of recordkeeping. Records managers usually resort to developing their own master file, or by making their own records description and file classification guide.

These efforts are not documented

University-wide, hence the existence of different practices on handling of records in UP. Ignorance on the benefits of effective records management program. Another daunting issue of records management in UP is the mere lack of knowledge on the importance of an effective records management program. Records managers are not aware of the many benefits of effective records management, resulting to passive record management practices.

They perform the task without commitment to

develop their skills and the program. Hostile records managers. This ignorance oftentimes leads to hostile relationship between records managers and their clienteles.

They associate

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additional records management related tasks, specifically the records management improvement strategies, as burden. They are not motivated to enhance their skills. Confused records managers. The absence of a standard records management program produces confusion over records managers throughout the University. This leads to mishandling of records. Most of the time, records with enduring value are discarded and those short-lived records are the ones kept. The University also has a variety of ways in organizing the records. Subjects and indexes lists depend solely on the judgment of records managers. This produces long and duplicating lists of subjects and indexes in the University.

This confusion results to unworkable

reconciliation of the records throughout the University. Authority and accountability over certain records are oftentimes ignored because records managers do not know which office possesses the authority and responsibility to retain particular records. Poor storage and retrieval practice. Aside from the failure to efficiently and effectively organize records, the University also shows poor skills on records retrieval and inadequate records storage facilities. The absence of standard practices across the University makes it difficult to retrieve the right record at the soonest possible time. Records retrieval becomes an arduous task for records personnel. While inadequate records storage results to the University’s poor handling of records. Records personnel are confined to manage such voluminous records in small storage areas. Weak motivation to move forward. Activities promoting records management and enhancing the skills of records managers are not part of the priority programs of

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the University. Submission to an in-house records management policy, may it be written/non-written, is not monitored.

Strict compliance to such policy is not

observed. Because of these, records managers are not inclined to submit to any policy or guidelines and are discouraged to cope up with the fast development phase of records.

Statement of the Problem The study sought to assess the records management practices in UP. This also included the measurement of UP’s level of compliance with the relevant provisions of the ISO 15489 and the RA 9470 done through a self-audit tool (Appendix I-A). Moreover, the following questions were addressed by this study: a) What are the existing records management practices in UP? Is there a prescribed program or system used by the units? b) What are the specific provisions of the ISO 15489 and RA 9470 that UP are able/not able to comply with? What are the possible reasons for noncompliance? c) What are the tools used by UP units in dealing and assessing their records/records management practices? d) What are the issues confronted by the University in handling its records? What are the possible solutions to address these issues?

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e) Is there any effort to develop and standardize the current records management practices? How ready is the University to standardize its records management practices? What are the possible hurdles in implementing said standardization?

What are the views of the

administrators, records managers/personnel and records clienteles in the standardization of records management in UP?

Objectives of the Study The following are the objectives of this study: 1. Enumerate the records management practices of the University and identify the program and system used in managing its records. 2. Assess the current records management practices in UP using ISO 15489 and RA 9450 as tools. This covers most of the provisions of the two regulations which are relevant to the University. The study also uncovers the reasons for compliance and/or non-compliance of the campuses with the regulations. 3. List the established tools of UP units in managing its records. 4. Enumerate and discuss the issues faced by the University in managing its records. 5. Enumerate the efforts of UP to develop and standardize its records management practices.

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6. Analyze the perceptions and readiness of the University stakeholders in standardizing its records management practices. 7. Propose a self-audit tool for use of the University.

Significance of the Study This study is an addition to the growing number of researches on records management in the Philippines. Specifically, it contributes in the assessment of ISO 15489 for implementation in the Philippine setting. The promotion of compliance with RA 9470, as mandated by the law, is also highlighted in this study. The self-audit tool, which is the output of this study, benefits Philippinebased institutions in performing audit and assessment of records management program through international and national standards. The self-audit tool may also be a good starting point for a more comprehensive audit tool for institutions in the country with advance program on records management as the researcher was not able to find a tool for Philippine-based institutions during the conduct of this research. More importantly, this study is most significant to UP. There are existing researches on the records management in UP but focusing on certain units or campuses only.

This study attempts to do a holistic analysis of the records

management practices in the University by involving top-level UP offices. The records personnel of the University who were tapped to participate in the study were given a chance to reflect on their recordkeeping practices through the conducted

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interview and survey. It also increases awareness and interest on the records management in UP which may commence efforts to improve and standardize the practice. The study is also deemed necessary to address the issues confronted by the University in managing its records. Also, the study may be an eye-opener for every stakeholder of the University about the importance of records management. The effective and efficient management of records may start to be listed in UP’s priority program, like the possible inclusion into eUP Project in the next years. The efforts to analyze the records management practices of UP may lead to a major effort on its standardization.

The standardized program based on

internationally and nationally accepted standards can significantly help the University to better serve the Filipino people. Lastly, the study also serves as reference material to other researchers, administrators and records managers/personnel, who are dealing with the assessment and audit of records management practices, and the implementation of ISO 15489 and RA 9470 in their institution.

Scope and Limitations of the Study The subjects of the study included all constituent universities of UP, namely UP Diliman, UP Los Baños, UP Manila, UP Mindanao, UP Visayas, UP Open University and UP Baguio; UP Cebu, the autonomous college, and; the UP System Administration (UPSA), the central administration. Only the head offices (Offices of

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the Chancellors or Dean’s Office for UP Cebu) and the central/official records office, if any, were included in the study. For the UPSA, the Office of the President (OP) and the Office of the Secretary of the University and of the Board of Regents (OSU) were included; OP being the highest decision making office in the University and OSU as the manager of the major vital records of the University. These offices can adequately represent the entire University for this particular study as these offices are the heart of major business activities of the University. As for the type of records to be analyzed, it is limited to what the subject offices process. These records are mostly administrative in nature. These include memoranda, administrative orders, executive orders, incoming and outgoing communications, university policies materials, to name a few. The researcher is aware that records management comes along with archives management. This study primarily focuses on active, semi-active and non-active records, hence records management was the main highlight of this study. But a brief section on archives management was discussed in Chapter IV for a comprehensive analysis of the life cycle of the records in the University.

CHAPTER II REVIEW OF RELATED LITERATURE

This chapter discusses the publications and literature on records management in UP, standardization of records management, adoption and assessment of ISO 15489, and other relevant local and foreign studies to the study.

On Records Management in UP The UP administration exerted efforts to study the records management in the University.

One of the earliest documented efforts was through Administrative

Order No. 199, Constitution of Records Management Committee of UP, issued on 10 June 1974 by UP President Salvador P. Lopez. This committee was expected to: 1. Formulate and define a program for the disposition of official records, and review the progress of the program; 2. Develop, publish and recommend standards and procedures for the disposition of official records; 3. Develop and publish procedures for the survey of files and review results of such surveys; 4. Develop, publish and recommend standards of classifying, indexing and filing records; 5. Assist units, branches, offices, departments of the University of the Philippines System in the development and maintenance of classification and filing systems; 6. Prepare disposal schedules for records common to several or all units of the University of the Philippines System; 7. Develop and administer a training program for records personnel of the U.P. System; 8. Plan and develop a program for the records center to house documents and papers which are to be preserved for a period of time (retirement of records) but which need not be retained in the units, branches, or offices of the University of the Philippines System; and

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9. Plan the transfer of all permanent records (archival material) to the University Archives Section of the University Library. (UP Gazette, 1974) Another attempt was documented in 1977. It was initiated by President Emmanuel V. Soriano through the help of his two Project Development Staff, Placido M. Manalo, Jr. and Perfecto Padilla.

The report was completed on 4

November 1977 entitled Program Concept and Approaches in Improving Records Management in UP (Granda, p. 14). It is unfortunate that the researcher was not able to obtain copies of said reports.

These would have been essential reference materials in analyzing the

records management practices in the University, particularly the implementation and effectiveness of the proposed recommendations of these committees. However, the researcher was able to obtain a copy of the report on records management of the Management Review Committee – Subcommittee III on Personnel and Administrative Services, dated 6 October 1981. It was a committee created by the Office of the UP Vice President for Planning and Finance (OVPPF). The committee studied the status of the management of records in the UPSA. During this time, the records of the administration were centrally managed by the Office of General Services (OGS).

The findings of the committee were: (1) UP has voluminous

records; (2) UP has inefficient and diverse records creation practices; (3) UP struggles from lack of space, equipment and manpower; (4) records disposition was neglected by UP records personnel; and, (5) albeit the presence of OGS, UP units still filed their own records in their offices, making former’s role unclear.

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Recommendations of the committee involved the establishment of a common records creation procedure throughout the University to regulate the fast growing number of records, forms management, inventory of University records, transfer of OGS’s records holdings and functions to other offices to streamline the records processes in the University, and to abolish OGS (Office of the UP Vice President for Planning and Finance - Management Review Committee, 1981). OGS was abolished in 1983 (UP Gazette, 1983). This committee report manifested the records issues confronted by the University as early as 1980s. These issues are also the same findings of this study. This exhibits how UP has disregarded state of its records management over the years. In 1988, President Jose V. Abueva constituted another committee to draft rules governing access to records and documents (UP Gazette, 1988). The report of this committee is also inaccessible. A few directives also cited the efforts of the University to standardize its recordkeeping system. UP President Salvador P. Lopez issued Executive Order No. 11 in 1974 to designate the University Library as the Archives of the University. This E.O. designated the University Librarian as ex-officio University Archivist. This was further strengthened by Executive Order No. 13 making the University Library as the University Archives and Records Depository to ensure the preservation of documents, records, and publications of permanent value (UP Gazette, 1974). In 1982, UP President Edgardo J. Angara through Memorandum No. 19 instructed all units of UP to furnish at least one copy of photographs generated by

20

each unit as an addition to the Archives collections of the University Library (UP Gazette, 1982). All these directives aim to preserve the archival records of the University if only strict compliance is enforced. The pilot run of the first UP document tracking system (DTS) was launched in 1976 through a memorandum order issued by the UP President.

This was

perceived as an “innovation on the present messengerial functions and duties of the University” (UP Gazette, 1976). Loyola (2001) described it as a system which featured the use of a 9-digit alphanumeric code for every identified document, the utilization of routing slips, and a creation of a central document tracking center. A computerized DTS was later developed in 1999 which was employed in the Office of the Chancellor of UP Diliman (as cited in Sueno, 2009). In contemporary years, particularly in 2003, a University’s in-house DTS named as DocuTrak was launched in UP Diliman units. The system used barcode labels to track the documents routed throughout the campus. This in-house system was again revisited and upgraded with the emergence of eUP. The new UP DTS was launched in 2014 for use of all UP units. It still uses the barcode label system but now supports documents attachments and with additional fields such as revisions, updates and remarks; and now open for use of the entire UP System (UP DTS Manual, 2014). Given the efforts to develop the UP DTS over the years, UP should have been perfected the use of one standard DTS within the University. The study proved this assumption otherwise. The enumerated efforts of the University to standardize and improve its records management serve as the researcher’s benchmark in assessing the current

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status of UP’s records management practices. It is evident that even in the 1970s, the University has been facing a number of records issues. Beyond UP’s effort, several researchers showed interest in assessing the records management of the University. Granda (1981) made a survey to find out existing practices, programs, conditions, and problems of records operation of UP, being one of her eleven (11) subject colleges and universities in Quezon City and Manila. Her findings include the following: (1) no definite unit to initiate the Records and Archives Management Program, (2) dearth of regular records personnel, (3) no definite policy or standard procedures, (4) lack of space and equipment for records storage, (5) deficiency in mail operations, (6) absence of authority to coordinate centralized and decentralized records management, (7) no uniform and standard classification and filing scheme, (8) ineffective control files, (9) inadequate plan and system of records transfer and disposal, and (10) poor records preservation. Hortillo (1990), in her proposal, highlighted the need for a university archives and records center for the University of the Philippines in the Visayas. She shared almost the same observations as Granda’s, adding that records personnel have adequate educational attainment but no formal training in records management prior or during the course of their work. She also revealed that the campus was only 20% ready to go electronic during the duration of her research. In relation with computerized DTS, Loyola (2001) studied the readiness of UP Diliman to have a common DTS for document-monitoring needs of all units of said campus. She revealed that 79% of the administrators believed that a common

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DTS is highly needed in Diliman but they however expressed their doubts that the project could be successfully implemented, as there were issues on resources and competing needs. Ching (2003) assessed the records retention and dispositions practices of the UP Diliman Health Service-Records Section with employee and student records as samples. She found out that the storage problem of the unit was due to its poor records disposal and inventory procedures. The unit was also non-conforming with the legal retention and disposition schedule for medical records. Another unit of the University, the Office of Student Regent (UP OSR), was assessed by Peoro (2007). The study focused on the functional aspects of recordkeeping, (records creation, records maintenance and control, records protection, storage and retrieval, and records disposition and retention). His research stressed that the unit was facing an increasing rate of lost records due to the absence of a clear and strict policy on records management. He also added problems relating to limited space and inadequate equipment, and the difficulty in retrieving records. The studies of Granda, Hortillo, Loyola, Ching and Peoro have common findings on the current state of the records management in the different units of the University.

These studies gave the researcher a partial view of the records

management in UP.

All the cited studies further highlighted the poor state of

records management in the different units of the University. The findings and issues raised in these studies helped in the formulation of assessment and observations in this study.

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In 2009, Sueno assessed the in-house developed document tracking system called UP DocuTrak. She argued that the development of the system was not done in the context of UP’s records management and it did not reflect UP’s values, culture, business activities, accountabilities, records needs and records use. The holistic approach was not observed during the development of the system. Because of these, the result of her assessment revealed that DocuTrak’s quality is below the acceptable standard.

As mentioned earlier, the UP administration revisited this

system in 2014 and proposed a new DTS for use of the University. Future study on UP DTS may focus on this newly developed system benchmarking on the study conducted by Sueno.

On Records Management Practices of Government Units and Other Universities (Local/International) Universities and government units here and abroad were also assessed by a number of studies on records management. These studies situated UP in terms of its current records management status and confronted records issues as compared to other similar universities and local government units. In 1981, Nofuente conducted a survey on the records management practices of international institutions in the Philippines. Her study revealed that a number of records personnel were mainly concerned with the filing practices only.

Other

records management functions were neglected. Records management was oftentimes taken for granted by the staff and also by the top management of the institutions.

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Aquino (1984) had a similar research to Hortillo’s but for another state university, the Mindanao State University (MSU). She did a survey on the records management practices and archives administration in MSU.

Her study was

accompanied with a plan for the creation of a university archives and records center. Mallari (2000) studied the recordkeeping practices of academic and administrative offices in New Era University. He concluded that recordkeeping of the New Era University was defective, the records personnel were untrained, there were inadequate records security measures, limited storage space, ignorance on the importance of records inventory, and the absence of records retention and disposition guidelines. The Commission of Higher Education (CHED) was a subject institution of Manahan (2009) in her research paper.

She studied the records retention and

disposition practices of said agency. The agency has a central records office since 1994, but despite the presence of a centralized records office, CHED failed to do records inventory. The task of the records office was limited to listing of all records received and created by the agency. She also revealed that CHED had no records retention and disposition schedule and had no clear guidelines and criteria of records appraisal.

This study shows that CHED, the commission in-charge all state

universities in the country, also finds it hard to submit its practices to the acceptable best practices on records management. Külcü (2009) examined the records systems of selected Turkish and Canadian universities.

He described the conditions, problems, similarities and

25

differences of each of the system used by the University of British Colombia (UCB) - Canada, Simon Fraser University (SFU) - Canada and Hacettepe University (HU) Turkey. The two Canadian universities had records management programs in place while the HU has been trying to develop a records management program. Despite the presence of records management programs in UCB and SFU, these universities experience more problems in filing and classification than HU. These problems stemmed from the fact that some of the Canadian university offices tend to redesign their filing system and develop their own internal records management program. While in HU, offices adopted a standard filing system used nationwide and governed by a central agency and the National Archive of Turkey. Külcü revealed that the three universities spend approximately three hours in a working day on records procedures. Also, the universities experience records access problems at least twice a month. The issues cited in the study of Külcü were the main records issues provided in the questionnaires of this study.

This also gave the researcher a

benchmark on the most effective way to capture the actual records issues in an academic institution like UP. The top 10 government corporations and financial institutions in Metro Manila were the subjects of Golfo (2010) in her study. She stressed that among government agencies, like UP, effective records management is a fundamental and core activity of public sector management. Her study revealed 66% compliance rate of the agencies to standard and best practices of records management.

She

recommended the improvement of the policies of the agencies based on ideal

26

practices and existing standards in archives and records management set by NAP and ISO 15489. Buenrostro (2010) studied the management and preservation practices of the postwar or contemporary records of the provincial records division in Bulacan. She discovered that none of the city offices (Malolos, Meycauayan and San Jose del Monte) have centralized repositories for their semi-active and inactive records. The records management practices in said offices were not standardized as well. In 2012, Juanson explored the extent of compliance of 14 out of the 15 selected barangays in Quezon City with the RA 9470, IRR of the RA 9470, RA 7160, DECS Order No. 13-A and DECS Order No. 13-B. She concluded that none of the barangays have existing archival system and most of the barangay policies on archives and records management were not formally written. She also found out that only 3 out of the 14 barangays have centralized receiving and releasing units, only 9 barangays have mini-archives, none dispose public and protected records, only 8 barangays have a records officer, and barangay officials are more aware of the laws stated in local government code than RA 9470. The Manuel S. Enverga University Foundation, a university with several campuses, was studied by Macapia in 2014. She found out that the campuses have no central storage room and records center resulting to filing of records per office. She also highlighted that there was no budget allocation for records management activities. She discovered the effort of some units to develop a standard for records creation, and she then recommended a centralized records center for semi-active

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records that could also be a venue for archival appraisal. Also in 2014, Mampusti studied the recordkeeping and archiving practices of another government unit, the National Housing Authority (NHA).

She attributed the personnel educational

background and skills to the quality of recordkeeping and archiving practice of the NHA.

She also highlighted the development of appropriate and practical

recordkeeping practices of the agency to carry out its daily business operations. All of the cited researchers agreed that the strict implementation of a standardized records management program ensures smooth business processes within an institution. These studies show that a number of government and higher education institutions in the Philippines and abroad also encounter a several records issues which should not be neglected. These issues were considered in crafting the questionnaires of this study.

On the Assessment and Implementation of ISO 15489 Institutions around the world are starting to utilize the international standard in their records management practices. Stephens (2001) opined that “ISO 15489 is the latest development in the global best practices movement that has been gathering momentum during the past 15 years” (p. 68). McLeod (2003) investigated the initial reactions to and plans for using the ISO 15489 from within and beyond the records management community.

The

investigation was conducted between January 2002 and March 2003. The results showed a relatively high level of awareness of the standard and very positive

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reactions despite the imperfections of said standard. Her study revealed that many plan to use the standard for policy/strategy development, to serve as basis for records management procedures and to benchmark their current records management practices. She added that many records professionals plan to utilize the standard to raise the profile of their organization’s records management. This study shows how acceptable the ISO 15489 to the many records professionals even at the onset of the standard’s implementation. In Jamaica (Alexander-Gooding & Black, 2005), a group of records management professionals joined forces to determine how they can take advantage of ISO 15489 in advancing records information management. Jamaica has had a strong recordkeeping practice with no effort to develop a retention schedule. In this study, they highlighted the strengths as well as the weakness of the standard. Some of the identified weaknesses of the ISO 15489 were “(1) it is just a voluntary standard; (2) it does not include the management of archival records; (3) it does not adequately cover electronic records; and, (4) it does not address vital records and contingency planning” (pp. 64-65). As of 2007, the technical committee had presented the adopted the ISO 15489 to the Bureau of Standards in Jamaica, for approval. These weaknesses suggest possible hurdles in the implementation of ISO 15489 in UP. Xiaomi and Jiao (2004) introduced and assessed the China’s records management practices against ISO 15489.

The paper served as a case study

discussing how the ISO contributes to the identification of gaps between best

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practice, captured in the standard, and what is happening in reality in relation to records management policies, programs, procedures and processes. The researchers also provided recommendation for the improvement of records management in China. Oliver (2007) demonstrated that implementation strategies for ISO 15489 need to be tailored according to the needs of the organization to function flawlessly. Oliver strongly suggested that for ISO to best serve the organization, implementers must first understand the cultural characteristics of the organization, taking into account their unique features as well as the broader cultural environment, including societal legislative and standards frameworks. She also identified key factors to consider in introducing a global standard and managing change associated with it: (1) leadership of the implementation, (2) identification of benefits appropriate to the values prevalent in the specific organizational environment, and (3) language and communication issues. These foreign studies guided the researcher in interpreting the ISO 15489 and in analyzing the standard as the basis of the self-audit tool for this study. Specifically, it greatly contributed on the appropriate approach in using ISO 15489 as an audit tool. The strengths and weaknesses of the ISO were considered for its effective use as a self-audit tool. The researcher also provided these literature as easy reference for future studies focusing on the implementation of ISO 15489.

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On Records Management Audit Crockett and Foster (2004) wrote an article on how to utilize the ISO 15489 as an audit tool for the records management practices. It examined the standard as basis for auditing a records management program and provided tips on the data gathering and report writing for an audit program. In addition, the Hardiman (2014) through the NHS Business Services Authority provided a framework to conduct an audit program. It gave a model on how to do an audit and what measures to be considered for good records management practices. Also in 2015, the Health & Social Care Information Centre also published a guide for regular programs of audit that both demonstrates, and provides assurance of compliance with good practice standards of records management. All these literature on the records management audit serve as the model in crafting a self-audit tool for use in this study. More importantly, the proper wording, format and method of the tool were heavily based on these studies. The researcher needed to consult a number of foreign literatures on the conduct of records management audit because of the absence of an audit tool for Philippine-based institutions.

Conceptual Framework of the Study As discussed earlier, ISO 15489 requires the recognition of other regulatory environment affecting the institution. Thus RA 9470 was considered in this study. As a first step, the researcher examined and identified similar provisions of the ISO

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15849 and the RA 9470 that are relevant in the assessment of the records management practices in UP. Some of the major provisions are shown in the figure below:

Some Provisions of RA 9470

Some Provisions of ISO 15489 Identification of regulatory environment Design and implementation of a records systems Best practices in records management processes (records capture, registration, classification, access and security classification, identification of disposition status, storage, use and tracking, implementation of disposition) Monitoring and Auditing

Establishment of records /archives management program/policy Appointing a records officer and defining responsibilities and authorities Training of records personnel

Establishment of a records and archives office/unit Creation of a Records Management Improvement Committee Establishing an integrated records creation program

Use of records management tools Setting the standards and criteria for maximum utilization of filing / instruments equipment and floor space Documentation of records Establishment of a centralized management processes/Agency receiving and releasing unit records management manual Establishment of Agency Storage / Mini Archives

Figure 3. Venn diagram of ISO 15489 and RA 9470 To integrate the two regulations, similar provisions were identified to avoid redundancy in the methodology.

The unique provisions were analyzed for the

inclusion in the study. These were considered in the methodology of the study, as well as in crafting and finalizing of the self-audit tool.

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ISO 15489 and RA 9470

Self-Audit Tool (Precrafted)

Survey Questionnaire and Interviews

Assessment, Conclusions, and Recommendations

University of the Philippines (UP)

Proposed self-audit tool for UP

Figure 4. Schematic diagram on the assessment of UP’s records management practices

The methodology of the study is patterned according to the minimum requirements of ISO 15489 and RA 9470. The conducted initial analysis of the ISO 15490 and RA 9470 helped in formulating the survey questionnaires and in crafting the self-audit tool. The gathered data were assessed and then plotted to the self-audit tool to determine the compliance rating of the University.

Conclusions and

recommendations on the current records management practices in UP were provided after the thorough assessment and discussion of the gathered results.

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As an output of the study, a self-audit tool for use of the University is proposed. This tool, if used with strict and effective compliance, will surely help the University in reviewing its records management practices and will ensure a common standard throughout the UP units.

Definition of Terms Administrative records - document that relates to housekeeping functions (such as management of the facilities, finances, and personnel) and to agreements, contracts, meetings, legal actions, etc. (Business Dictionary.com, 2015) Access – refers to the granting of permission to: (1) use the reference service of an archives institution; (2) examine and study individual archives and records or collections held by archives; and (3) extract information from archives and records for research or publication (Official Gazette, 2009, p. 1715) Archives – refers to (1) public records, papers, periodicals, books or other items, articles or materials, whether in the form of electronic, audio-visual, or print, which by their nature and characteristics have enduring value, that have been selected for permanent preservation; (2) the place (building/room/storage area) where archival materials are kept and preserved; and (3) an organization (or part of an organization) whose main function is to select, collect and preserve archival records and make such records available for public use (Official Gazette, 2009, p. 1715-1716)

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Audit – review or scrutiny of any system or process that make up a system. The main purpose of an audit is to provide assurance that systems and processes are effective, compliant and risk free. It also provides a mechanism for regular scrutiny and improvement of systems. (Health & Social Care Information Centre, 2015, Introduction) Capture - is the process of determining that a record should be made and kept. This includes both records created and received by the organization. It involves deciding which documents are captured, which in turn implies decisions about who may have access to those documents and generally how long they are to be retained. (ISO 15489:2-2001, p. 14) Classification – is the process of identifying the category or categories of business activity and the records they generate and of grouping them, if applicable, into files to facilitate description, control, links and determination of disposition and access status (ISO 15489:2-2001, p. 16) Convenience files – a file containing duplicates of records kept near the point of use for ease of reference (Society of American Archivists, 2015, Glossary Terms C) Destruction – process of eliminating or deleting records, beyond any possible reconstruction (ISO 15489:1-2001, p. 2) Disposition – range of processes associated with implementing records retention, destruction or transfer decisions which are documented in disposition authorities or other instruments (ISO 15489:1-2001, p. 3)

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Document – recorded information or object which can be treated as a unit (ISO 15489:1-2001, p. 3) General records disposition schedule – refers to a records control schedule governing the disposition of specified recurring records series common to all government agencies issues by National Archives of the Philippines (Official Gazette, 2009, p. 1716) Indexing - process of establishing access points to facilitate retrieval of records and/or information (ISO 15489:1-2001, p. 3) Metadata - data describing context, content and structure of records and their management through time (ISO 15489:1-2001, p. 3) Non-current records – refers to files that deal with completed or adjourned business not needed for action or reference in continuing agency transactions but have continuing research or historical value to the government and public (Official Gazette, 2009, p. 1716) Preservation – refers to all actions taken to retard deterioration of, or prevent damage to cultural materials and controlling the environment and conditions of use and may include treatment to maintain materials as nearly as possible in an unchanging state (Official Gazette, 2009, p. 1716) Records Center / Storage Area – refers to an intermediate repository in which noncurrent records of various government offices are stored until they can be destroyed or transferred to the National Archives of the Philippines (Official Gazette, 2009, p. 1717)

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Records creation – refers to the (1) organization’s operation wherein exchange of written ideas between two sources occur; (2) act of controlling records and retaining them in records keeping system; and (3) bringing the records into existence as evidence of any administrative process (Official Gazette, 2009, p. 1717) Records disposition schedule – refers to the listing of records series by organization showing for each records series the period of time it is to remain in the office area, in the storage (inactive) area and its preservation or destruction (Official Gazette, 2009, p. 1717) Records inventory – is a detailed listing of the volume, scope, and complexity of an organization's records, usually compiled for the purpose of creating a records schedule (A Glossary for Archivists, Manuscript Curators, and Records Managers, Society of American Archivists: Chicago, 1992, p. 19) Records management – refers to the managerial activities involved with respect to the records creation, records maintenance and use, transmission, retention, and records disposition in order to achieve adequate and proper documentation of policies and transactions of government for its efficient, effective and economical operation (Official Gazette, 2009, p. 1717) Records management policy – is an essential tool for supporting good corporate governance and demonstrates your agency's commitment to effective records management practices (National Archives of Australia - Policies, procedures and guidelines, 2015, para. 1)

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Records management improvement committee – refers to a group of key officials and employees designated by the head of the agency responsible for the improvement of their records activities (Official Gazette, 2009, p. 1717) Records management manual – refers to a guide which contain the functions, organizational chart of the records office, policies and standard operation procedures on records management activities of an agency (Official Gazette, 2009, p. 1717) Records office – refers to an organizational unit responsible for planning, developing, prescribing, disseminating and enforcing policies, rules and regulations and coordinating agency-wide records management program (Official Gazette, 2009, p. 1717) Records officer – refers to the employee responsible for overseeing the records management program and providing guidance on adequate and proper recordkeeping (Official Gazette, 2009, p. 1717) Registration - act of giving a record a unique identifier on its entry into a system (ISO 15489:1-2001, p. 3) Retention period – refers to the specific period of time established and approved by the National Archives of the Philippines as the life span of records, after which they are deemed ready for permanent storage or destruction (Official Gazette, 2009, p. 1718) Storage - A set of processes to ensure that records are protected, accessible and managed in a cost-effective manner for as long as they are needed. This

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includes facilitating retrieval and use (National Archives of Australia, 2015, Glossary) Tracking – creating, capturing and maintaining information about the movement and use of records (ISO 15489:1-2001, p. 3) Transfer of records – refers to the systematic movement of records out of high cost space and equipment to less expensive storage area / records center (Official Gazette, 2009, p. 1718) University of the Philippines System (UPS) – is the term used to include all units of the University regardless of campus, function, and location University of the Philippines System Administration (UPSA) – refers to the central administration of UP which includes the Office of President (OP), the offices of the Vice Presidents (OVPs), Office of the Secretary of the University, and the offices of the assistant vice presidents and directors under OP and OVPs Valueless records – refer to all records that have reached the prescribed retention periods and outlived the usefulness to the agency or the government as a whole (Official Gazette, 2009, p. 1718)

CHAPTER III METHODOLOGY

Chapter III describes and discusses the design of the research, the intended respondents, the instruments and methods to collect data, and the analysis of the collected data.

Research Design The descriptive research approach was employed by this study. Through this method, the researcher was able to observe and capture actual situations, problems, phenomenon, services, and programs of the subject offices.

This method also

provided a better understanding of the underlying reasons for such records management practice. The study did not require full participation of the respondents, thus, did not cause any delay or interruption in the daily business operations of the institution. The analysis of this study was divided into four (4) phases. The researcher started the data gathering by requesting a list of documents from the respondents. This list was the first part of the survey questionnaire (Appendix III-A). The second phase was the actual data gathering through the survey questionnaire and interview (Appendix III-B). Interviews were conducted to seek clarification and in-depth discussion on certain survey questions. For UP Los Baños, UP Manila, UP Open University and UP Baguio respondents, the researcher needed to serve the survey

40

questionnaire through one-on-one interview to help the respondents in answering the questions.

Pictures were taken for actual appreciation of the results of the

questionnaire. The third phase was the presentation of the data in tables, the textual analysis of the results, and the setting of results to the self-audit tool (Appendix I-A) to measure the compliance of the University with the ISO 15489 and RA 9470. Lastly, conclusions and recommendations were offered to improve and help the records management practices in UP to be compliant with the ISO 15489 and the RA 9470. A self-audit tool was also proposed for use of the University (Appendix I-B).

Population and Sample The researcher was able to tap a total of 32 respondents.

The main

respondents were from the top-level offices of the University. These offices are the Office of the President, Office of the Secretary of the University and of the Board of Regents, Offices of the Chancellors, and the Office of the Dean for UP Cebu. The records office of UP Los Baños, UPLB Record Management Office (RMO), was included in the study which is one of the two established records offices in UP (OSU is the other which was established by UP Charter). The records officers/personnel were the main respondents with a total number of 17 participants. The researcher asked the participation of at least one personnel from each office.

For offices with no official records personnel, the participation of the

personnel doing records management functions was solicited. The heads of unit (University President, Secretary of the University, Chancellors, and Dean) were also

41

asked to answer a short questionnaire (Appendix III-C).

All heads of units

participated in the study, a total of 10 respondents. Selected records clients shared their views on the issues of records management in UP.

Five records clients

responded to the short questionnaire (Appendix III-D) which was sent via email. Support towards the standardization of UP records management was also sought through the farmed out survey questionnaires.

Research Instruments Survey

questionnaire

and

interviews,

as

well

as

the

study

of

literature/documentations, were the major research instruments used by the researcher. As discussed in Chapter I, the researcher was able to do face-to-face interviews and site visits to limited respondents because of financial and time constraints. Only UP System, UP Diliman, UP Manila, UP Los Baños and UP Baguio site visits were feasible. The researcher asked all possible help from other respondents in taking pictures of the records room and patience during phone-call interviews, in lieu of inability to do site visits. The survey questionnaire for the main respondents was mainly adopted from the studies of Buenrostro (2010) and Külcü (2009). According to Buenrostro, her questionnaire was patterned after Granda’s (1981) study, ISO 15489 and RA 9470. The researcher heavily relied on Kulcu’s study to capture the records issues in the University.

Additional sections and questions were added by the researcher to

address the specific problems stated in this study. The questionnaire has two parts,

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Part I listed the documents that were requested from the main respondents and Part II contained the questions to capture the actual practices in each office. It was planned to request copies of all available documents as listed in Part I, but the respondents hesitated to release a copy of outdated and draft documents. But the researcher was able to read and analyze these documents through the conducted interviews. Part II was further sub-divided into the records management processes and controls as listed in the ISO 15489, namely, records capture, records registration, records classification, storage and handling, access to records, use and tracking, implementation of disposition, documentation of the records management processes, monitoring and audit, and training. Sections on electronic records, archival records, records issues and standardization of records management in UP were also included. Most of the questions had choices to guide the respondents in answering. Some questions required the respondents to rate the given entry and to give their own perspective about it. The questionnaires for the heads of units and selected records clients were designed to capture their perceived status of current records management practices and records issues in the University, and their support towards a common records management program for UP. These questionnaires were sent via email, particularly through Google forms. Also, site visits enabled the researcher not only to inspect the physical set-up of the records but also to have a more personal and in-depth interview with the records managers/personnel.

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Data Collection An authorization letter approved by the University President was secured before farming out the letter-request and questionnaires to the target offices. After securing the President’s authorization, the researcher then requested the permission to conduct survey, interview, and site visits through a letter-request addressed to the Chancellors and Dean, attaching a copy of the survey questionnaire for their records personnel (see Appendix IV). The letter-request also informed the heads that a short online questionnaire was sent to their email addresses for their participation. The questionnaire for selected records clients were also sent via email. A follow-up phone call was made by the researcher to inform them of the emailrequest. The collection of data started in late April 2015 and was completed in June 2015.

Analysis of Data The results of the data gathering were presented in tables to visually capture the current state of the records management practices in the University. Presentation in tables also helped the researcher in getting the dominant practices of the University. It also highlighted the constituent units of UP with the most advanced records management practices.

44

After the results were presented in tables with corresponding textual analysis, the results were then plotted to the self-audit tool. The tool clearly showed the compliance and non-compliance of each campus with the provisions of the ISO 15489 and RA 9470. The tool gauged the compliance rate of each UP campus, and the University as a whole. The compliance rating of each of the unit was calculated through the count of total number of provisions met over the total number of provisions listed in the self-audit tool. To calculate the overall compliance rating of the University, the results of the compliance of each unit were plotted in one general table. The average compliance rating by provision provided the overall compliance rating of the University. As for the common perceived records issues, its reasons, and the current state of the records management in UP of the records personnel, the mean rating was calculated to capture general thoughts of the respondents.

CHAPTER IV DATA PRESENTATION

In this chapter, the results of the data gathering conducted by the researcher are presented and analyzed.

Data are shown in tables with corresponding textual

analysis. Pictures and images are added to support the analyses of the researcher. This chapter contains the following topics: profile of the respondents, overview on the subject units and its records management, general information on the University records, records management practices in UP and its compliance with ISO 15489 and RA 9470, issues on University’s records management practices, and the standardization of UP’s records management.

Profile of the UP Respondents The researcher was able to tap 32 respondents to participate in the study. The respondents are grouped according to the following categories: records officers, personnel-in-charge of records, heads of units, and selected records clients, as shown in Table 1.

46

Table 1 Distribution of Respondents by Group Groups of Respondents Records Officers Personnel in-charge of records Heads of units Selected records clients Total

Frequency 2 15 10 5 32

The records officers and personnel-in-charge of records are the main respondents of the study, with a total of 17 warm bodies. Only two respondents are records officers, they are from OSU and UPLB-RMO. The researcher observed that many of the subject units have no records officers, thus the inclusion of “personnelin-charge of records” group is deemed essential. The main reason for the absence of records officer position in top-level UP units is mainly because recordkeeping tasks are just additional assignments to the regular workload of the UP employees. The main respondents were asked to answer the questionnaire which captured the actual record management practices in UP (Appendices III-A and III-B). The “heads of units” and “selected records clients” groups added significant inputs on the common records issues in the University. Some recommendations were sought from these groups to address the issues confronted by the University, and to gather support towards the standardization of record management. They were asked to answer the online survey questionnaires (Appendices III-C and III-D). A total of 15 respondents were classified under these groups.

47

Table 2 lists the distribution of the 17 main respondents throughout the UP System. The following units are well-represented: UP Los Baños with five, and two respondents from each of the following units: UP Manila, UP Mindanao, and UP Cebu. Only the UP System Administration (UPSA) and UP Los Baños have official records offices. One of the respondents from UP Manila, the former records officer of UPM-OC, is now detailed to another office but the Chief Administrative Officer of UPM-OC requested to accommodate the inputs from said former records officer for more in-depth analysis of the records management in UPM-OC. Table 2 Distribution of Main Respondents by Unit Main Respondents by Unit Office of the President (OP) Office of the Secretary of University and of the Board of Regents (OSU) UP Diliman – Office of the Chancellor (UPD-OC) UP Los Baños – Office of the Chancellor (UPLB-OC) UP Los Baños – Records Management Office (UPLB-RMO) UP Manila – Office of the Chancellor (UPM-OC) UP Visayas – Office of the Chancellor (UPV-OC) UP Open University – Office of the Chancellor (UPOU-OC) UP Mindanao – Office of the Chancellor (UPMin-OC) UP Baguio – Office of the Chancellor (UPB-OC) UP Cebu – Office of the Dean (UP Cebu) Total

Count 1 1 1 1 4 2 1 1 2 1 2 17

Majority of the main respondents are not records officers. Thirteen out of the 17 respondents hold non-records officers positions. presented in Table 3.

Their position titles are

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Table 3 Distribution of Main Respondents by Position Title Position Titles of Main Respondents Records Officer V Records Officer III Executive Assistant I Administrative Officer V Administrative Officer IV Administrative Officer III Administrative Officer I Senior Administrative Assistant I Administrative Assistant VI Administrative Assistant V (Private secretary ) Administrative Assistant II Total

Frequency 1 1 1 3 1 2 2 1 1 2 2 17

Anyone can infer from the data shown in Table 3 that records management in the University is primarily an additional task of the administrative staff. Only two personnel from the top-level offices of the University hold records officer positions. The records officers are from OSU and UPLB-RMO. These are also the units with established records offices. Respondents from UPLB-RMO shared that though their position titles are not records officers, they are full-time in managing records. One respondent shared that he previously held a records officer position. But because of the low salary grade, his office promoted him but to a non-records officer position. This implies that the record officer positions in the University (and also in other government agencies) may not be appealing anymore to anyone with records/information management expertise.

49

The background information on the educational attainment of the main respondents are shown in Table 4. It reveals that only two respondents have formal education on records management. These respondents are from OP and UPD-OC. Table 4 List of Educational Attainment of Main Respondents Highest Educational Attainment Master in Public Administration Master in Development Management Master of Library and Information Science (ongoing) Master of ASEAN Studies (ongoing) MA Public Administration (ongoing) BS Commerce BS Economics BS Business Administration BS Business Management BS Secretarial Administration BS Management Accounting Bachelor in Computer Data Processing and Management Total

Frequency 1 1 2 1 2 1 1 2 3 1 1 1 17

Majority of the records personnel of the subject units earned degrees in different fields of studies.

Although their degrees have no concentration on

information and records management, they all have bachelors and master’s degrees which are enough to learn and understand the discipline of and skills on records management. However, it is appropriate that the staff members assigned to manage records are properly trained and have at least the basic knowledge before they perform the function. But the University fails to observe this practice. A number of respondents shared that they have yet to attend any basic training on records

50

management. This is the current trend in the University’s recruitment of records personnel. Aside from educational background, the years of service in UP of the respondents are presented in Tables 5 and 6. Table 5 shows their number of years of service in the University while Table 6 presents their number of years as records personnel. Table 5 Distribution of Main Respondents by Years of Service in UP Years of Service in UP 1-5 6-10 11-15 16-20 21-25 30-up Total

Frequency 0 4 2 4 2 5 17

Table 6 Distribution of Main Respondents by Years of Service as Records Officer/Personnel Years of Service as Records Officer/Personnel 1-5 6-10 11-15 16-20 21-25 30-up Total

Frequency 6 3 2 2 4 0 17

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The data shown in Table 5 reveals that the currently assigned records personnel of the subject units have long been serving the University. Majority of the respondents have served UP for more than 10 years. They are already familiar with the daily operations and the business processes of the University. These experiences are essential in performing their recordkeeping functions. However, Table 6 shows that more than half of the respondents are just introduced to the management of University records, serving as records personnel for less than a decade. Some of the respondents also shared that there are no permanent staff in-charge of records management in their offices. Aside from the formulation of appropriate training program for records personnel, it is necessary for the University to have a standard records management program to preserve and improve its best practices in spite of the frequent change of the records personnel. As mentioned earlier, it is also an important consideration that the assigned records personnel should have at least the basic knowledge and skills before performing the task to avoid adoption of inappropriate practices.

Staff turnover should be planned carefully to ensure

continuity of the established practices in records management.

Overview on the Subject Units and its Records Management As discussed in the previous chapter, UP is composed of seven constituent universities (CUs), one autonomous campus, and a central administration unit (UP System Administration). This composition is reflected in the organizational chart of UP, Figure 1. Additionally, as a general introduction on UP, it has around 60,000

52

undergraduate and graduate students with more than 5,000 faculty members. It offers around 500 degree programs.

The University employs over 8,000

administrative personnel (UP System Budget Office [UPS-Budget Office], 2013). This shows how vast the scope of University records, not only as a government institution but also as the leading university in the Philippines. The breakdown of these figures by unit is briefly discussed in Appendix II. Aside from the breakdown, a brief narration of the history, description, mission and vision, and organizational structures of each unit are described in said appendix. A discussion on the staffing pattern of records personnel and the records units of each of the subject unit are presented in the succeeding sections. Office of the President (OP) – UP System The UP President has a single six-year term who is elected by the UP Board of Regents (BOR), the highest policy making body of the University. As stated in the Chapter I, the President is the chief academic officer, chief executive officer and the head of the university faculty (RA 9500, 2008, Sec. 14).

The staff of the Office

of the UP President (OP) backstop the President in overseeing the operations of the whole UP System and in ensuring that the goals set by the Charter, the directives from the BOR and strategic initiatives of the University are all being implemented. OP is composed of 9 permanent administrative staff members and 5 job order/contractual personnel (see Appendix II for the organizational chart).

The

vision of the office depends on agenda or initiatives of the current UP President. Its thrust also depends on the priority programs of the President.

53

The records management function of the office is mainly delegated to the executive assistants of OP. An executive assistant is in-charge of the records of the office who is supervised by the senior executive assistant. Almost all types of records go in and out of the office but the primary records maintained by the office are mainly on university governance policy. Office of the Secretary of the University and of the Board of Regents (OSU) – UP System The Office of the Secretary of the University and of the Board of Regents (OSU) has 16 staff members, 15 are permanent staff (see Appendix II for the organizational chart). The Secretary of University is tasked to keep the records of the University as may be designated by the BOR (RA 9500, 2008, Sec. 15). Additionally, OSU: facilitates governance of the University through its work as the secretariat and administrative arm of the Board of Regents and the President’s Advisory Council. It serves as the primary interface and communication link between the top policy makers and executive officers of the University on one hand and the diverse stakeholders and resource providers of the University and the general public on the other. Being the repository of Board policies and decisions, the office may also be called upon to conduct or to oversee studies and research on policy issues that require Board attention and action. (OSU website, 2015) Mandated as the repository of BOR policies and decisions, almost 90% of its records consist of university policies and the issuances of the University Presidents (like administrative orders, memoranda, executive orders and outgoing letters). Managing these vital records is a records officer who performs the records

54

management in the office with the help of another OSU staff. OSU has a dedicated storage room for its records. Under the governance of current Secretary of the University, OSU’s priority program is the digitization of its records or the eOSU Project. The eOSU Project is discussed further in the next sections. Office of the Chancellor – UP Diliman (UPD-OC) UP Diliman is largest campus in the UP System. The records section of the Office of the Chancellor of UP Diliman serves as the main records office of this diverse campus. The Office has a records officer and another records personnel who has a contractual appointment. UPD-OC has a dedicated area for its records. Its records storage facilities and area have enough space to accommodate its current record holdings.

The

respondent from UPD-OC shared that given the volume of records coming in and out of their office, records storage area was well-considered during the renovation of their office. Office of the Chancellor – UP Los Baños (UPLB-OC) UP Los Baños has an official records office which is the Records Management Office - UPLB (UPLB-RMO). But in spite of the presence such records office, Office of the Chancellor of UPLB still performs recordkeeping task which is assigned to one of the staff of the office, as supervised by the senior administrative officer.

55

UPLB-OC has assigned a room for its record holdings but this area is located remotely from UPLB-OC. According to the records personnel of the office, UPLBOC has ongoing plan to transfer the records storage room near the office. Records Management Office – UP Los Baños (UPLB-RMO) The UPLB-RMO is the official records office established by the BOR for UPLB campus. UPLB-RMO’s historical background is provided in Appendix II. The mandates of the RMO are to: 1. formulate, implement, and continually analyze policies to effect better records control; 2. identify and analyze problem areas in the creation, maintenance, and disposition of the records of UPLB; 3. establish a uniform classification and filing system for all the records of UPLB, regardless of their present location; 4. adopt standard operation procedures for the classification, filing, and servicing of records; 5. plan and establish schedules for the retention and disposal of records; and, 6. initiate training courses for records personnel in the various aspects of records management. (UPLB-RMO Manual, 2004, p. 4) The office currently has four sections, namely, the current records section with five staff; the non-current records section with six staff; the communication service section with three staff members; and the bindery service section with three staff. All these sections are supervised by the Chief and Records Officer V of the office. The organizational chart is presented in Appendix II. According to the respondents from UPLB-RMO, their records are from the different units of UPLB. The office has a number of records centers but still it needs more space for its growing records. Considering the both UPLB-OC and UPLB-

56

RMO have records storage issues, it would be beneficial if the campus would consider only one central records storage for the entire campus. UPLB-RMO should be empowered to fully perform its mandates set by the UP BOR. Office of the Chancellor – UP Manila (UPM-OC) The Office of the Chancellor of UP Manila has 11 administrative staff members including one contractual staff (see Appendix II for the organization chart). An administrative assistant is in-charge of records management as supervised by the Chief Administrative Officer. The records personnel shared that he just assumed the recordkeeping task of the office since last year. Unfortunately, he also shared that he is yet to attend any basic training. He pointed out that his lack of knowledge and skills aggravate the current records issues present in their campus. The former records officer of the office is now assigned to the Central Point of Contact (CPC) unit of UP Manila who is in-charge of all the records received and released by the campus. The CPC Project of UP Manila is further discussed in the succeeding sections. Like the other UP units, UPM-OC has a records storage area, and also faces same inadequate records storage.

More on this issue is discussed in the next

sections. Office of the Chancellor – UP Visayas (UPV-OC) The Office of the Chancellor of UP Visayas currently has six support staff members.

Three of these staff are permanent, and three are contractuals (see

Appendix II). One of the permanent staff (Administrative Aide VI) is in-charge of

57

the recordkeeping tasks of the office. The issue on inadequate records storage space is also experienced by the office in managing its records. Office of the Chancellor – UP Open University (UPOU-OC) The head office of UPOU, the Office of the Chancellor, is manned by two permanent and one contractual staff members. Although considered as a virtual university, majority of the records of the campus are still in paper form.

The

administrative officer of UPOU-OC is mainly in-charge of the records. It was revealed that the Office has not disposed any of its record holding since its establishment in 1995. This is the main cause of the records storage issue of the Office. The respondent from the Office disclosed that they plan to renovate the office and that a bigger space for records storage area is a main consideration. Office of the Chancellor – UP Mindanao (UPMin-OC) UP Mindanao was elevated as a constituent university in 1998. Though it is relatively young compared to other constituent units of the University, it already faces a number of records issues. Because of these issues, the Chancellor constituted a Records Management Team in 2014 to focus on the improvement of records management in the campus. The output of the Team is expected in July 2015. However, the researcher was not able to wait for the output of the Team due to time constraints. The Team’s output would have been a vital part of this study to beef up the discussion on the University’s efforts on the improvement of records management.

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In the Office of the Chancellor of UP Mindanao, records management is a shared responsibility of the two administrative officers and a utility worker. One of the administrative officers of UPMin-OC is a member of the constituted Records Management Team. Office of the Chancellor – UP Baguio (UPB-OC) Another young campus is UP Baguio. The Office of the Chancellor has three staff members. One of these staff members is in-charge of the records of the office. The UPB-OC’s records personnel shared that their records section serves as the records office of the campus. It is very important for her to keep every record that has value not only for her office, but for the entire campus. She is also asked to initiate the records management in other units of UPB. Given this situation, it is very important that records personnel of the top-level offices of the University to have adequate knowledge and skills on records management to avoid providing erring practices. Office of the Dean – UP Cebu The Office of the Dean of Cebu has three staff members. Two staff are incharge of the recordkeeping in the office. The respondents from UP Cebu shared that every unit in the college has their own records storage areas. Every unit is expected to manage their own records.

Like the respondent from UP Manila,

respondents from UP Cebu shared that she look forward to attend basic records management trainings.

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Over the years, the University has established only two records offices, OSU and UPLB-RMO. The absence of a central records office for the entire UP System necessitated each campus to manage its records through their own ways. Additionally, almost all units are experiencing inadequate records storage which is a lingering records problem in UP since 1970s, as pointed out by a number of studies. Given the current status of the records management in UP, it is very important that the records personnel are well-experienced and well-trained. But this is not the case in UP.

The detailed discussion of the records management practices in UP is

provided in the next section.

The Records of the Subject Units For more than a hundred years in existence, UP has definitely accumulated a volume of records to support its continued presence and business operations. This was also one of the findings of a committee in 1981 which was discussed in Chapter II. This section introduces the nature of records that are being managed by the subject units. As discussed in the previous chapter, the study is limited to administrative records only.

Administrative records are the common records managed by the

subject units. Table 7 shows the common administrative records that the offices manage.

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Table 7 Types of Records Managed by UP

UPOU

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

x

/

x

x

/

/

/

/

/

/

/

/

/

/

x

/

/

/

/

/ / /

x x x

/ / /

x x x

/ / /

x x /

/ / /

/ / /

/ / /

x / /

/ /

/

x

x

x

/

x

x

/

/

x

/

/

x

x

x

x

x

x

x

x

x

x

/

x

x

x

x

x

x

x

/

x

x

/

x

x

x

/

x

x

x

/

x

x

x

x

x

x

x

x

x

x

x

x

x

/

x

x

x

x

x

x

x

x

/

x

/ /

x x

x x

x x

x x

x x

x x

/ x

x x

x x

x x

/

x

x

/

x

x

x

x

x

x

x

UP Cebu

UPV

/

UPB

UPM

/

UP Min

UPLB

/

UPLB RMO

UPD

Memoranda Administrative Orders Correspondence Files Policy and Procedure Manuals Minutes of the Meeting Financial Reports Annual Reports Speeches Organizational Charts/Plantilla Government Publications Audio-visual Materials Photographs Records of Research Activities Informational Materials on UP 201 Files Case Files Legal Files (e.g. MOA, etc.)

OSU

Types of Records

OP

Units

As revealed in Table 7, memoranda, administrative orders, correspondence files, minutes of meetings, and policy papers are the most common record types that the subject units manage. This pattern across the subject units is expected as these records are the ones created by the offices and the common reference materials for

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the decision making of the offices. Of all the subject units, OP is managing almost all types of records listed in Table 7. This is likely the case as OP is expected to deal not only with UP-related records but also with other government records, being the head office of the University. The records managed by the subject units are the vital records of the University as it includes policy records. This is also the reason why the researcher chose to study the top-level offices of the University, to highlight how the University maintain its vital records. The section on the actual records management practices of said units reveals the status of these vital records of the University. Table 8 Formats of Records Managed by UP (in percent) Units OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

Paper 70 50 90 100 100 100 100 80 80 99 98

Electronic 30 50 10

20 20 1 2

Although majority of the records of UP are in paper format, more than half of the subject units are now dealing with electronic records as presented in Table 8. The main respondents shared that the computers and scanner rolled out throughout

62

the UP campuses by the eUP Team helped them in starting up the electronic records management in their offices. Most of respondents shared that inactive records are their priority in digitization.

This is to save up some space in their records storage areas.

Respondent from OSU shared that the UP Gazette and BOR decisions are now made available in electronic format for ease of record searching as well as to save on records storage space. For OP, the respondent shared that her office started to digitize the issuances of the UP Presidents which are the primary records created by the office. The digitization of OP now expanded to cover inactive records as well as selected active records using the EDMS program of the office. One well-established digitization project is the project of the UPLB RMO which is manned by 4 contractual staff members and supervised by the Chief Records Officer of the office. The project is being funded by UPLB every year upon submission of progress report and justification of project continuity. An in-depth discussion on UP’s electronic records is found in succeeding sections.

Records Management Practices in UP The results of the data gathering on the actual records management practices in UP are presented according to the listed records management processes and controls in ISO 15489 as follows: records creation/capture, records registration, records classification, storage and handling, access to records, use and tracking, and implementation of disposition.

The documentation of the records management

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processes, monitoring and audit, training of the staff, archives management, and electronic records are also discussed for more holistic analysis of the records management in the University. Records Creation/Capture Records capture is defined as the “process of determining that a record should be made and kept” (ISO 15489, 2001, p. 14). It is important to have a clear guideline on what records to create and capture within the records system of an organization. Control over records creation is also an important consideration for an efficient records system (ISO 15489, 2001, p. 14). The 1981 committee report also recommended a common guideline over control of records creation to regulate the fast growing number of University records which mostly have duplicate or more copies. Unfortunately UP, until now, has no clear guideline on records creation and capture despite the recommendation of the committee. The different UP offices manage to create their own system of control over its records. The common control systems are listed in Table 9.

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Table 9 Records Creation Control in UP

Units OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

Observance of Directives Issued on Records Control / / / x

Uniform Titles/Codes for Administrative Issuances

Review of Outgoing Communications Prior to Release

/ / / /

/ / / /

x

x

x

x x x x x x

/ / / / / /

/ / / / / /

Majority of the UP offices admitted that they are not observing any directives on records control even with the existence of such directives. Only OP, OSU and UPD-OC have confirmed their submission to some of the University directives as shown in Table 9. Respondents from OP and OSU shared that in 2011, the Secretary of the University issued two memoranda reiterating the use of A4 size paper and the adoption of a uniform date format for UP communications (Memorandum No. OSU11-16 and Memorandum No. OSU-11-17).

Said memoranda were disseminated

throughout the UP System, calling the attention of all UP officials, faculty and staff members. But most of the respondents don’t seem to remember such directives. The

65

absence of a monitoring body on the compliance of each UP unit is a probable main reason for such neglect. Almost all units have an established system in assigning uniform title/code for administrative issuances. A pattern on this uniform title/code system across UP units is very apparent as reflected in Figure 5.

Figure 5. Samples of uniform titles/codes for creation of UP records

Top-level UP offices usually include the following elements to control the creation of administrative records: type of record, initials of the head of unit, year created, and the sequence number. This uniform titles/codes are listed in logbooks or any equivalent control system to monitor the uniqueness of each administrative issuance released by the office. This established coding system should be considered in standardizing the records creation process in the University. In addition, the respondents also shared that all their created records are reviewed by the most senior staff and/or by the heads of units prior to release. This practice is yet to be documented. It is also worth mentioning that none of the units performs any high level records process at this early stage of records management process, like adding notation for index, classification, and disposition schedule. This

66

may be attributed to the absence of a guide in processing records that are captured and created by the units. By practice, the subject units are capturing all the records listed in the Table 7. These are records that originate from their office and records that serve as reference materials for the decision making of the University officials.

The

importance of records capture is to establish the relationship between the record, the creator and business context that originated it, to position the record and its relationship within a records system, and to link it with other records (ISO 15489-1, 2001). Without the proper technique in records creation/capture, a record would have just lost within the records system of an institution or would just have lost its value. As presented in Table 9, UPLB-RMO is the only office with no established records capture and creation system. UPLB-RMO is expected to manage all records sent to their office. These are the records captured in their system. The office is also not expected to release any administrative issuance. Given this, it is anticipated that the office need not establish such a system on control of records creation. All of the offices have access to common records processors such as photocopier machines, computers and scanners. At the moment, none of them has plans to acquire highly technical machines for their records management. These highlight the fact that despite the recommendation of the 1981 committee, the University still failed to craft a standard guide on the records creation and capture. It may be inferred that the University may not find it important to craft

67

such guide as the records personnel are able to perform their task in spite of the absence of a standard. Records Registration After the creation and capture of records into the records system, records registration follows immediately. The primary purpose of records registration is to provide evidence that a certain records has been created or captured in a records system. Additionally, efficient records registration also facilitates retrieval (ISO 15489-1, 2001). In the University, top-level offices use one or more schemes in registering the records. These schemes are presented in Table 10. Table 10 Records Registration Systems in UP Units OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

Logbook / / / / / / / / / / /

Computer-aided system / / / / / / x x x x x

DTS / / / / / / x / / x /

All subject units use logbooks in the registration of records. Moreover, the University is now utilizing the use of information and communication technologies (ICTs) in managing records. Aside from logbooks, most of the units use document

68

tracking system (DTS) and computers-aided programs in their records registration process. Figures 6 and 7 show the different DTS programs used in the University. A standard document tracking system (DTS) under the management of eUP Team was rolled out for use of the UPSA units in 2013. President Pascual reinforced the utilization of the UP DTS making sure that every UPSA unit uses the system. But even with the issuance of such order, a number of units are still not using the system. Strict compliance must be monitored by every head of UP units to ensure that their records personnel are reminded of such directive. Units from other campuses use a different DTS program. Like the in-house data tracking system of UPD-OC which was developed in 2000. UPD-OC is now in the process of upgrading said system to match the current trend in records management. UP Manila has also developed its own Document Assessment and Training System (DATS) in 2012 which was at first centrally managed by the Central Point of Contact (CPC) Office. The management of the system was later on decentralized in 2014. UPLB also uses a different DTS for records within the UPLB campus and at the same time uses the UP DTS for all records coming in and going to the UPSA. UPOU, UP Mindanao, and UP Cebu are now utilizing the UP DTS. The UP DTS and all other similar programs used by UP units implement the use of barcodes to facilitate tracking. UP Visayas and UP Baguio are still not utilizing any DTS program, even the UP DTS which is available for use of every UP unit. The respondents from said units may be satisfied with the logbook system, and are not aware of the benefits of using a DTS. Issuance of a

69

directive from the Chancellors and Dean and monitoring of strict compliance may drive the records personnel to utilize the available records system in UP.

UP DTS for all units of UP

UP Los Banos’ DTS

Figure 6. UP Document Tracking System (UP DTS) and UPLB’s DTS

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Figure 7. UP Manila’s Document Assessment and Tracking System

Six out of the 11 subject units also utilize computer-aided programs in records registration. OP and OSU make use of an electronic document management system (EDMS) called Laserfiche Program (see Figure 8) in the registration of created and captured records. This is a paid software which was pilot tested in UPSA units. Discussions are ongoing about the possible adoption of the Laserfiche into the eUP Project (A. Lagman, personal communication, 10 June 2015). UP Manila and UPLB RMO also use computer programs like MS Excel and MS Access in its records registration. MS Excel is used by UPM-OC to list down all its created and captured records. This is an additional system used by the office aside from the logbook and DTS.

UPLB-RMO also uses MS Access through a

database with pre-defined form to regulate the elements captured for records registration.

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Figure 8. Electronic document management system (Laserfiche) used by OP and OSU Table 11 Elements Captured by UP During Records Registration

Units OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

Unique Identifier / Control Number

Title / Short Description

/ / / /

/ / / /

Date and Time of Receipt / / / /

/

/

/

/

x x / / x x

/ / / / / /

/ x / / / x

/ / / / / /

Author, Sender, or Recipient / / / /

In records registration, UP captures descriptions which can help in the identification of the record once it enters the system. Seven out of the 11 subject

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units capture almost all possible elements in the registration of records. While UPMOC, UPV-OC, UPB-OC and UP Cebu are conservative in capturing records description (see Table 11). The University has a number of systems used in records registration. Almost all of these systems are not documented. The use of a common records registration system throughout the entire UP System may be easily formulated if only the current systems used are formally recorded. Records Classification The next step after registration is for the records personnel to classify the records according to the unit’s classification scheme, if any. A guide on how to classify the records can assure consistency of work and efficient time management in performing the process.

This is a powerful tool that assist the conduct of the

institution’s business processes and as well as the processes involved in records management.

The following are the benefits of a well-established records

classification system: a) provides linkages between individual records which accumulate to provide a continuous record of activity; b) ensures records are named in a consistent manner over time; c) assists in the retrieval of all records relating to a particular function or activity; d) determines security protection and access appropriate for sets of records; e) allocates user permissions for access to, or action on, particular groups of records; f) distributes responsibility for management of particular sets of records; g) distributes records for action; and, h) determines

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appropriate retention periods and disposition actions for records (ISO 15489-1, 2001). The University is able to establish its own classification scheme but it is apparent that many units use a simple system of classification. Table 12 summarizes the classification style of UP. Table 12 Classification of UP Records Units

By Types or Forms

By Subject or Topic

By Office or Institution

By Date or Chronology

By Numeric or Code Category

By Geographic Grouping

OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

/ / / /

/ / / /

/ / / /

/ x / /

x x / x

x x / x

/

/

/

/

/

/

/ x x x / /

/ x / x / /

/ / x / / /

x x / / / x

/ x x x x x

x x x x x x

Table 12 shows that UPLB-RMO has the most comprehensive records classification system which includes the types or forms of the record, the subject or topic, the office or institution, the date or chronology, numeric or code category and geographic grouping. It is the only unit with a formal file classification guide which is included in its published Manual of Operations and Procedures (2004). UPLBRMO’s system makes use of major, primary, secondary and tertiary classification. It

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also prepares subject index for important records which serves as a record locator (works like a library card catalogue). The indexes are written on 3”x5” index cards and kept in the subject index files. The records officers of UPLB-RMO also determine a number of cross-references required for a specific record (see Figure 9).

Figure 9. UPLB-RMO’s indexing and cross-referencing system

Like UPLB-RMO, OSU and UPD-OC have specific area for records classifiers and indexers. OSU has developed its own File Classification Guide which is based on Functional Subject-Alphabetic Classification System. It also prepares cross-referencing for each record. UPD-OC devised a comprehensive records master file with cabinet location.

To formalize these functions, OSU and UPD-OC are

currently drafting their manual of operations. UP Mindanao has also constituted its Records Management Team (RMT) which is tasked to propose a records

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classification system for the use of the campus by July 2015. All the other offices classify the records according to the established practice or knowledge of the records personnel.

The units have no plans yet in formalizing such important records

management tool. Having no standard tool to classify records put UP’s vital records in high chances of getting lost. Of all the subject units, UPLB-RMO has the most advance records classification system which UP may consider in its standardization of records management processes. Storage and Handling Records storage of an institution must permit the useability, reliability, authenticity and preservation of the records as long as the records are needed. Vital records require higher quality storage facilities for its proper preservation (ISO 15489-1, 2001). This must be an important consideration of the subject units as they handle the vital records of the University. In the University, the most common practice in prepping up the records for filing is the identification of the folder where the records belong or the classification of records. After the records had been classified, they are usually filed in the appropriate folders with proper label. These folders are kept and organized in steel cabinets, wooden cabinets, shelves or racks, and boxes. Electronic storage devices are now a famous storage facility in the University as it starts exploring the management of electronic records.

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The respondents shared that they sort and file their records according to the established office classification scheme. Note that when the respondents were asked if they have an existing filing manual, almost all of them answered none, except for OSU, UPD-OC and UPLB-RMO. As stated in the previous section, classification systems of the majority of UP units are oftentimes relying on the personal knowledge of the records personnel. Respondents from UPLB-RMO shared that their filing manual is part of their manual of operations. It serves as their guide to standardize their filing operation. Another issue on the handling of records in the University is the backlog in filing.

Because recordkeeping is just additional work for the assigned records

personnel, they seldom find time to file their records. Some of the respondents answered that they only file records when they have time or when the heads of units are away. Most of the records personnel said that in the average, it would take them weeks or months before they could focus on filing the records. This is one of the many disadvantages of not having a fulltime records officer in an office, especially in top-level offices. OSU, UPLB, and UPLB-RMO are the only units with no backlogs in terms of records filing.

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Table 13 Records Storage Facilities in UP Units OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

Steel Cabinets / / / / / / / / / / /

Wooden Cabinets x x / x / x / x x x x

Shelves / Racks / / / x / x / x / / x

Electronic Storage Devices / / / x / x x / / x /

Boxes / / / / / / x / x / /

UPD-OC and UPLB-RMO have all types of storage facilities as seen in Table 13.

The storage facilities of said offices must have been the accumulation of

purchased records storage facilities over the years. UPLB-RMO has been doing records management since its formal creation in 1987, while UPD-OC was the main records unit of the campus since the reorganization of the campus. It is also apparent that most of the offices do not have wooden cabinets anymore.

Also, seven out of

the 11 units have setup electronic storage devices as records storage.

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Table 14 Status of UP Records Storage Units OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

Has Adequate Space x x / x x x x x x x x

With Limited Space / / x / / / / / / / /

Ready for Future Expansion of Active Records x x / / / x x / x x x

Many of the subject units mentioned that they already have limited records storage (see Table 14). This is very alarming and may demand expansion of the current records storage or the strict implementation of disposition to address the issue. Notice that since 1981, as reported by a committee under OVPPF, UPSA units have been suffering from inadequate records storage. Only UPD-OC answered that it has enough records storage at present. The researcher noted that UPD-OC had recently renovated their office, and that the new office is designed for spacious records storage.

OP and OSU shared that the

administration has an ongoing procurement for container vans which can augment the limited storage areas of the UPSA units. Respondents from UPOU-OC and UPLB-OC mentioned that there are plans to renovate their offices and bigger records storage areas are part of the renovation plan.

UPLB-RMO is also requesting

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additional records storage centers for the fast growing records of the UPLB campus. Note that none of the respondents shared any effort to review their records for implementation of disposition as a solution to the scarcity of records storage.

UPD-OC’s records storage facilities

UPM-OC’s steel cabinets and records boxes

UPLB-OC’s records shelves UPB-OC’s steel cabinets with labels

UP Cebu’s shelves for active folders UPLB-RMO’s records boxes in wooden shelves

OSU’s records storage area with other office stuff

Figure 10. UP’s records storage facilities and areas

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Figure 10 shows the different records storage facilities and areas of selected units in the University. Most of the records personnel describe their records storage areas as ‘bodega’ (storage room). This is because their records storage areas also serves as storehouse for all other stuff and equipment of the office. This is not the ideal setup for records storage as described by ISO 15489, especially for the vital records which are in the custody of the subject units. All of the respondents agreed to have a central records center for their non-active records. This may be the best solution for the poor setup of records storage in the University. As observed by the researcher, one reason for the scanty storage area for records in the University is the non-implementation of records retention and disposition schedule. The easiest solution may be the prohibition of filing of nonrecord materials. Filing of voluminous magazine, books, newspapers, pamphlets, and the likes, may take up most of the space of the records storage. UPD-OC, UPLB-OC, UPLB-RMO, UPMin-OC and UP Cebu said that they file such materials in their offices. UPD-OC explained that the office set a period of time before transferring to the library or proper disposition. Because of the current problem on records storage, many of the subject units start to explore the use of digital storage facilities. This is further given prominence because of the implementation of the eUP Project. As part of effective records management, the organization must conduct a risk analysis on the records storage and handling options that are appropriate and feasible for its records.

This includes disaster recovery plan that defines an

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organized and prioritized response to disasters, a plan for continued regular business operations despite disaster, and plans for recovery after disaster (ISO 15489:2, 2001). The findings of the study expose that none of the subject units has a disaster recovery plan. At present, the units have no plans of putting up such measures to protect the vital records of the University. Even units with well-established records system fail to observe this important aspect of records management. Access to Records Formal guidelines should be devised to regulate the access to records. It is very important that related regulatory environment or legislation be consulted in crafting the guidelines on records access rights, conditions or restrictions as ineffective guideline may jeopardize the institution (ISO 15489-1:2001). UP, again, lacks on this aspect. One important aspect in records access is the security system for unauthorized access.

The researcher observed that most of the records storage

facilities of the units are in secured places. The cabinets and boxes are placed in the innermost area of the offices to secure the records from any unauthorized access. Units with storage areas for non-active records are locked and only the heads of units and the records personnel have access inside the storage room. Figure 11 shows a sample records access restriction in UP. However, the current setup of records access in UP should be well-documented. The document should include plan for the ideal records storage facility and area locations to ensure the security of records.

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Figure 11. Securing access to UP records The respondent from OP shared that EDMS program used by the office needs review in terms of access rights and restrictions. At present, all OP staff are sharing one user account. The integrity of the records will be preserved if different user accounts will be created with different access rights and restrictions. The University is yet to renew the license of Laserfiche, thus UP cannot acquire support from the software provider.

The eUP Team is in-charge of the program, but the OP

respondent opined that the assigned program administrator is not that competent to address this current issue. Despite the absence of a standard records access in UP, there is enough security measures in place which can be studied and collated to form part of the standard records management program for UP. Use and Tracking Records that are effectively registered in the records system can be easily traced to identify outstanding action required, enable retrieval, prevent loss, monitor

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the usage for system maintenance and security, and maintain an auditable trail of records transaction, and identify the origin of the records in case system upgrade or migration (ISO 15489-1:2001). In the University, the different units have formulated its own tools in finding records. Table 15 summarizes the finding aids used by the top-level offices in accessing their records. Table 15 Finding Aids used by UP units Index Cards

Inventory

Compiled Guides

Computeraided Program

Knowledge of the Files

OP

x

x

x

/

/

OSU

/

/

/

/

/

UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

x x

/ x

/ x

/ /

/ /

Logbook, DTS, ERMS Logbook, DTS, ERMS DTS DTS

/

/

/

/

/

DTS

x x x x x x

x x x x x x

x x x x x /

x x x x / /

/ / / / / /

Folder label

Units

Others

The common finding aid used by the subject units is the use of computer in tracking records. The respondents considered the use of computer as the most efficient way amongst all the listed tools.

But respondents also shared their

reservations in using this tool such as DTS. Most of them admitted that because of

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the lack of documentation, guide and proper training, their use of DTS is far beyond perfect. Another daunting fact is that most of the offices without reliable finding aids are relying heavily on their knowledge of the records to find it. This practice may cause several records problems like loss of records, and the inability to provide the final version of an amended record, the latest version of an updated record, and other relevant records on the given search topic. The subject units, being the main records units of their respective campuses, are frequently asked for records. This being said, the units have devised their own system to manage this function. Table 16 provides a glimpse on the systems used by the subject units in accommodating request for records. Table 17 shows the systems used by UP in tracking active and on loan records. Many of the respondents shared that in the past, they let other offices borrow or loan the records. But because of the absence of a reliable system to track down records, most of the time, they forget about the transaction and the records are never returned to them. They learned their lesson and their current practice is to provide the requestor a photocopy of the record and return the original to its storage. As seen in Tables 16 and 17, only OSU, UPD-OC and UPLB-RMO have a system for loaning of records. Their guides in handling request for records are detailed in their manual of operation (OSU’s and UPD’s are yet for finalization). UPLB-RMO’s manual of operations covers charging out of records, charging in returned records, refiling borrowed records, and following up borrowed records (see Figure 12).

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Table 16 Accommodation of Records Request in UP Borrower's Slips

Receipt Slips

OP

x

x

OSU

x

x

UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

/ x

/ x

/

x

x x x x x x

x x x x x x

Units

Others Letter-request then provide photocopy or scanned copy (e-file) Letter-request then provide photocopy with OSU stamp or certified true copy stamp Letter-request Provide photocopy With established loaning system, use of chargeout card. Provide photocopy Logbook then provide photocopy Logbook, recollection, provide photocopy Logbook, provide photocopy Provide photocopy Logbook, provide photocopy

Figure 12. Forms used by UPLB-RMO for on loan records

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Table 17 Tracking System for Active and/or On Loan UP Records

OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin

x x / x

x x / x

x x x x

Computeraided System / / / /

/

x

x

/

x x x x

x x x x

x x x x

/ x x x

UPB

x

x

x

x

UPCebu

x

x

x

x

Recall Slip

Units

Follow- Tickler up Slip Slip

Others DTS, EDMS, Logbook DTS, EDMS, Logbook DTS DTS File control slip DTS Logbook Logbook, notebook notes Logbook When someone followed-up; notes on the table; logbook, reminder from the Chancellor Logbook

The release of confidential records is also a major consideration. Almost all units have no clear guidelines on how to process requests concerning confidential records. These sensitive records must be managed by the units judiciously to protect the records personnel, the office and the entire University.

The respondents

mentioned that release of confidential record is upon the approval of the head of unit through the letter-request sent by the requesting party. Like other records management processes, most UP units have no documentation on the use and tracking of documents. The records personnel are using the practice they deem fit and appropriate for the record. Most of the offices also utilize their DTS in action-tracking and location-tracking of records.

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Implementation of Disposition Retention and disposition is an important records management process to keep the institution away from the different records-related issues. One way to initiate the implementation of records retention and disposition schedule is the regular conduct of records inventory and appraisal. This gives the records personnel overview of the current holdings of the office and the status of each record. When asked about records inventory and appraisal, many of the respondents said that they have no regular schedule. Most of the units are not aware of the records inventory and appraisal form created and recommended by NAP. OSU, UPD-OC and UPLB-RMO shared that they inventory records annually. Respondents from OP and UPM-OC mentioned that they inventory records without regular schedule, it is usually done as the need arises. Respondent from UP Baguio shared that when she came aboard in 1996, she attempted to inventory records to familiarize herself with the records of the office. She was able to come up with a list of record folders. She added that she plans to conduct the same procedure when her schedule permits her.

It is unfortunate that the electronic file of this list was

accidentally deleted during her computer upgrade. Respondents from OSU, UPLB-OC, UPLB-RMO, and UPB-OC are complying with the GRDS of NAP, agency RDS, and rules/guidelines approved by the agency relating to records retention and disposition. All the other units shared that records retention and disposition is based on their personal assessment and experience.

It is also very important for UP to have its own records retention and

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disposition schedule for its unique records, which should be patterned after NAP’s GRDS. This schedule should be endorsed to NAP for approval. Table 18 reflects the reasons for records retention of the 11 subject units. It shows that all of the respondents keep records that concern the past and present decisions of the institution, to make it available as part of the institutional memory, and to provide information for decisions and activities in the present and in the future. Except for UPV, all units also keep records as evidence of the past and present activities to meet accountability obligations. Also noticeable is that most units do not implement RDS to dispose valueless records as early as possible. It was earlier mentioned that the respondents are not considering records disposition as an important solution to the many records issues that they are experiencing. The findings on the implementation of records and disposition of records in the University may sound alarming but the records personnel are able to work around this poor practice. The most common solution in the University is by refraining from disposing of any record, as shown in Table 18. This is a common practice in the young campuses like UPOU-OC, UPMin-OC, UPB-OC and UP Cebu. The records personnel from said campuses admitted their hesitation to dispose any record fearing they might just dispose vital records. Valueless records are not clearly defined making it harder for records personnel to decide on the retention and disposition. In exceptional cases, record destruction is conducted upon instruction from the head of unit.

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Table 18 Purposes of Records Retention and Disposition Schedule in UP

UPD

UPLB

UPM

UPV

UPOU

UP Min

UPB

UP Cebu

OSU

Retaining information concerning the past and present decisions as part of the institutional memory and information about decisions and activities in the present and in the future Retaining evidence of the past and present activities to meet accountability obligations Eliminating as early as possible and in an authorized and systematic manner, records which are no longer required for the operations and activities of the office Retaining the context of the records which will enable future users to judge the authenticity and reliability, even in cases where records systems in which they are retained have undergone significant changes Identifying the enforceable or legitimate interest that stakeholders may have in preserving the records for longer than they are required by the office itself Identifying and assessing legal, financial, political, social, or other positive gains for preserving records to serve the interest of research and the society

OP

Purposes of RDS in UP

UPLB RMO

Units

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

/

x

/

/

/

/

/

x

/

/

/

x

x

/

x

/

x

/

/

/

/

/

/

x

/

/

/

x

/

/

/

/

/

/

x

/

/

/

x

/

/

/

/

/

x

x

/

/

/

/

Respondent from OSU shared that because of the success of their eOSU Project, the office is now ready to dispose records by transferring non-active records to the University Archives and Records Depository (UARD) of the UP Main Library (see Figure 13). With consent from the Secretary of the University, the records

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officer is now scheduling transfer of several labelled boxes to the library. Records with age 10 years and up, and are converted to e-records are now being processed for transfer using their records transfer form.

The records transfer form are also

digitized and filed to the ERMS for easy searching. However, the respondent shared that this process is not discussed in detail in their draft manual of operations.

Figure 13. OSU records for transfer to the University Archives and Records Depository (UARD)

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Like OSU, ULPB-RMO has an established and documented transfer process for non-active records. The guidelines are included in their manual of operations, listing all the steps needed to accomplish the transfer. Figure 14 presents the records transfer procedures of UPLB-RMO.

Figure 14. UPLB-RMO’s records transfer procedure Documentation of the Records Management Processes Documentation of the established policies, practices and procedures is another important consideration in records management. Documentation can address various issues on the diverse practices throughout the University which facilitates easy dissemination and review of the established practices. It was frequently mentioned in the earlier sections that most of the subject units have no documentation on how records are managed, except for UPLB-RMO, OSU and UPD-OC. UPLB-RMO has Manual of Operations and Procedure which was formalized in 2004. OSU and UPD-OC have drafted their manual of operations

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and policy which are for finalization and approval of the heads of units. These documents describe some selected processes and procedures on records management.

ISO 15489 suggests that institutions should comprehensively

document every records management processes. This should also be the aim of UP, to religiously document every endeavor on records management to build up the necessary foundation on its standardization. It was mentioned in Chapter II that several committees in 1970s and 1980s had studied the records management in the University. Recommendations were also formulated by said committees. However, the researcher was only able to obtain the copy of the 1981 committee report. This is one of the unfortunate cases of records loss in the University.

If only the University had strictly implemented the

recommendations of the committees, no vital record would have been lost and will rather be preserved for future references. Those references are good starting point for researches like this paper. Use of Records Management Tools A well-established records management practice needs support through the use of appropriate records management tools. Some of the respondents from OP, UPOU, UPMin, UP Baguio and UP Cebu admitted that though they have on file the listed records management tools in Table 19, they hardly consult it in their daily recordkeeping tasks.

Other existing records management tools used in the

University are listed in Table 19.

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Table 19 Records Management Tools Used by UP Units

Records Management Tools

OP

Draft manual on use of EDMS, outdated master list of files and folders, NAP GRDS

OSU

Draft manual of operation, file classification scheme, NAP GRDS

UPD

Draft records management policy, draft manual of operations, draft manual on digitization of records, NAP GRDS, records inventory and appraisal, various forms to document daily operations

UPLB UPLB-RMO UPM UPV UPOU UPMin UPB UPCebu

None File classification scheme/guide, indexing guide, records inventory and appraisal guide, NAP GRDS, agency RDS, requisition and charge-out procedure in issuing records, Manual of Operations and Procedures, various forms to document daily operations None None File classification scheme/guide PRMA controlled vocabulary, PRMA RDS, PRMA records classification Outdated master list of files and folders File classification scheme/guide, NAP GRDS

Only UPLB-RMO has a formal manual of operations for records management.

The manual of operations of OSU and UPD-OC are now being

finalized. Ideally, every UP unit must have a manual on how to deal with records, but a common program or manual will surely help the entire University in dealing with records. Documenting the records management practices of the University will ensure continued business operations in spite of changes in the institution. It was initially planned to get copies of all the records management tools used by the UP units, but because most of these documents are yet for finalization, there

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were records personnel who hesitated the release of a copy. But the respondents allowed the researcher to read on the draft manual and tools. Monitoring and Auditing ISO 15489 prescribed the conduct of monitoring and auditing of the management of records to ensure compliance with the organization’s established standards, ensure that records will be accepted as evidence in a court of law, if required, and improve the organization’s performance. RA 9470 also suggested every government unit to have a records management improvement committee, an advisory body on the development of records management. NAP is also mandated to conduct periodic inspection of records holdings of government offices every five years.

But according to the records personnel of the top-level offices of the

University, they have not received any related request from NAP. NAP should endeavor to perform its mandates so as to set as the role model in standardizing of records management. The researcher found out that none of the subject units has an established monitoring and auditing program within their campuses. Hence, none has conducted a recent audit nor devised an audit tool. But it was highlighted in the earlier sections of this chapter that UP Mindanao constituted a Records Management Team 20142015 which is tasked to: 1. Recommend policies and guidelines for the proper classification, maintenance, and disposition of all records in the University; 2. Establish a University Records Management and archiving System; 3. Recommend the best possible ways to store and preserve University records; and,

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4. Develop a University Records Management and Archiving Manual. (Memorandum No. SBC 2014-045, Concepcion, 2014) In Chapter II, the researcher narrated the efforts of the University to review the current state of the records management in the University, but those were in late 1970s. ISO 15489 suggested monitoring and auditing “regularly at intervals agreed and set down in the organization’s records management policy” (ISO 15489-2:2001, p. 22) while RA 9470 specifically prescribed to conduct such procedure every 5 years. The constitution of a standing committee on UP’s records management will ensure regular monitor and audit. Audit also helps the institution to deter the violation of any regulatory environment and legislation on records management. Like for the case of UP, a number of respondents (UPM-OC, UPLB-OC, UPV-OC, UPMin-OC, and UP Cebu) stated that they are not aware that of records-related offenses are punishable under the law. Article V of the RA 9470 states that: a person who willfully or negligently damages a public records or disposes of or destroys a public record other than in accordance with the provisions of RA 9470 or contravenes or fails to comply with any provision of said Act shall be deemed to have committed an offense. (Official Gazette, 2009, p. 1728) Moreover, Rule 15 of Article 15 states that said offenses are punishable by: a fine of not less than Five Hundred Thousand Pesos (PhP500,000.00) but not exceeding One Million Pesos (PhP1,000,000.00) or be imprisoned for not less than five (5) years but not more than fifteen (15) years and/or both fine and imprisonment at the discretion of the court without prejudice to the filing of administrative charges that would result to such public officer’s perpetual disqualification from public service, and forfeiture, in favor of the government of his salary and other lawful income. (Official Gazette, 2009, p. 1728)

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Compliance with the regulatory environment and legislation must be considered to protect UP personnel and the University as well. Punishments for records-related offenses are implacable for anyone to disregard the importance of an effective records management. The disregard of the record personnel of UP on records management monitoring and audit might be attributed to their ignorance of the cited legal punishments. The conduct of training workshops for records personnel will help in the dissemination of such important information. Training Training on records management is not only for personnel with recordkeeping tasks, it covers all personnel of the institution with any kind of responsibility for records. ISO 15489 suggests that institutions should have training programs that promote wide understanding about records management functions and its benefits. Tailor fitting of training program according to the needs of a particular group or staff member ensures the effectivity of the training (ISO 15489-2:2001). Having said this, pursuance of training programs mean that institution should allocate budget for it. Inclusion of training programs in the annual budget of an institution makes records personnel feel that they are valued, hence motivation to enhance and develop their potentials are achieved. NAP has been an active partner of every government units, as well as private institutions, in training records personnel. One of the functions of the NAP is to “conduct training programs on records and archives management including the establishment of an archival system of both public and private sectors” (IRR of RA

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9470, p. 10). Through the years, NAP has been offering different training programs for all records personnel in the Philippines. They have been diligently disseminating these training programs to all concerned records personnel.

A number of records

personnel of UP have attended a series of trainings and seminars of NAP. Respondents from UPLB-OC, UPM-OC and UP Cebu shared that since their assignment to recordkeeping tasks, they have yet to attend any formal training on records management. They added that basic training on handling records would greatly help them in performing their record related tasks.

As for other units,

respondents delightedly mentioned that their administrators are very supportive of their desire to learn. They also added that they plan to attend advance trainings on management of e-records, current innovations and trends in records management, and the likes. All the respondents expressed their inclination towards a regular training schedule. Most of the time, they are sent to training only after a year or after a few years because they wait until new training modules are offered. It is also worth mentioning that in UP Diliman, trainings and interventions are offered by the UP School of Library and Information Studies (SLIS) to share their expertise on archiving and records management. SLIS is currently providing assistance to the different units of UP Diliman by conducting trainings for the records personnel and by improving the records management practices of the units. This effort should be reinforced by the administration and replicated throughout the campuses to initiate the establishment of a training program for UP’s records personnel.

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Though NAP and other agencies have been active partners of the University in developing the learning and skills of the staff, a program coordinator for UP can help ensure that appropriate training programs are available to all personnel of UP with regular schedule.

The training program coordinator will communicate the

needs of UP personnel to NAP and other similar agencies and come up with a regular training schedule. Budgetary allocation for this program may also be managed effectively because of the dedication and expertise of the assigned coordinator. Electronic Records in UP With the implementation of eUP, various units of UP are obliged to learn how to manage electronic records. Many of the UP offices are now starting to digitize their records not only because of the office requirement but also to solve their need for more physical records storage area. However, the implementation of electronic records management must be grounded in the basic principles of the existing records management program of an institution. Since UP has no established program yet, the management of electronic records is a very crucial endeavor. Table 20 tabulates the mechanisms used by the subject units in managing electronic records. Five out of the eleven subject units (UPLB-OC, UPM-OC, UPVOC, UPB-OC and UP Cebu) are still not ready to manage electronic records.

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Table 20 Electronic Records Management in UP

Units OP OSU UPD UPLB UPLB RMO UPM UPV UPOU UPMin UPB UPCebu

/ / / x

Hardware and Software Requirements / / / x

/

/

/

/

/

x x / / x x

x x / / x x

x x / / x x

x x x / x x

x x x x x x

Digital Storage

Backup Systems

Maintenance Process

Manpower

/ / / x

/ / / x

x x x x

Among the units with an established electronic records management program, UPLB-RMO has the most comprehensive program (see Figure 15). This digitization project started since 2011. It is manned by 6 contractual staff members and supervised the senior records officers of UPLB-RMO. The budget is requested annually from the Chancellor of UPLB upon submission of a progress report. Also, this project is well-documented but not yet part of their manual of operations.

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UPLB-RMO’s electronic records manager program

Back-up systems for UPLB-RMO’s electronic records

General files cataloging system for UPLBRMO’s records Prepping process for records scanning

Figure 15. Electronic records management in UPLB-RMO The program consists of the following procedures: grooming, scanning, extracting, storing, and indexing. The office uses three heavy-duty scanners which scans 500-800 pages a day. It also has the appropriate back-up system with five external hard drives which are kept in their different records storage centers. Reports

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generation and search functions are enabled through the software called the Automated Document Management System. According to respondents from UPLBRMO, the project is only available via intranet. UPLB has no plans yet for the full implementation of the project. This serves as a good benchmark and should be reviewed if the University plans to standardize its electronic records management. OP and OSU are now utilizing an electronic document management system (EDMS) called Laserfiche to manage its electronic records. Both offices have no formal documentation of the project, but OP has crafted draft guide.

Back-up

systems and maintenance are in place but lack maturity. Maintenance is through the eUP Team but the respondents believe that the team needs expert training to maximize the full potential of Laserfiche. Manpower is yet another issue as a dedicated staff member to focus on this initiative is a necessity. At present, the current records personnel of the subject units are also the ones in-charge of the project. Aside from the Laserfiche Project, OSU also launched its eOSU Project (see Figure 16). OSU is now maintaining a website where the office uploads the scanned copy of the BOR decisions or the UP Gazette. Records from 1970s are available for download in the website of OSU. A search function is also available in the website. The records are uploaded and downloaded in searchable PDF formats.

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Figure 16. The eOSU Project The University should be wary about the implementation of electronic records management as the number of records issues faced by UP in managing its paper records might be carried to the electronic records as well. Before getting into the full implementation of e-records management, the administration should first focus on addressing the current issues on paper records.

Management of Archival Records in UP After review and inventory of the records, the usual practice of the subject units is to transfer all archival records to their respective libraries. The archival records are usually arranged in a box with appropriate label, according to some respondents. As a documentation of such transfer, offices make use of their own version of a transfer list form.

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As discussed in Chapter II, on 7 June 1974, President Salvador Lopez designated the University Library as the Archives of the University which formalized and standardized the handling of archival records of the University. This may be the basis of the respondents for sending their archival records to their libraries. The respondent did not mention this directive or any directive for such practice. As mentioned earlier, the records created and captured by the subject units are considered vital records as it serve as basis for major decision making in the University. It is in this light that the records personnel of the subject units ask the expertise of the librarians in managing such important records.

Some UP units

perform minor archival tasks, like in UPD-OC. UPD-OC respondent shared that he does preservation methods for some archival records but admits that he prefers sending it to the librarians for expert handling. Reinforcing the 1974 directive will ensure a standard management of archival records in UP. This is very important to preserve the identity of UP as embodied by the records.

UP’s Compliance with the General Provisions of ISO 15489 and RA 9470 The self-audit tool crafted by the researcher based on the best practices stated in ISO 15489 and RA 9470 enables the assessment of the compliance of the University with the international and national records management standards. The self-audit tool was applied to every unit. A general summary was also drawn for better appreciation of the result (see Appendix I).

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The University achieved an overall compliance rating of only 13%. The following units got the highest ratings: UPLB-RMO got 52%, OSU got 28%, and UPD-OC with 17%. The rest of the subject units got less than 10% compliance ratings. It is also worth noting that 24% partial compliance rating was achieved by the University.

UP may prioritize the fulfillment of the lacking requirements for

eventual compliance of these provisions. The review of UP’s partial compliance would help increase the compliance rating of the University. The self-audit tool also highlighted the 63% overall non-compliance rating of the University.

UPM-OC and UPV-OC yielded more than 80% non-compliance

which is very alarming.

This suggests that the UP’s records management is in

distressing state, particularly in said campuses. The following provisions are highly achieved by the UP units: use of logbook or equivalent system to record all official records in chronological order with 100% compliance; allocation of storage for non-current record with 73% compliance; and for recently sending records personnel to a training program with 64% compliance rating. Despite these high ratings, the earlier discussions revealed that UP units have varying records registration practices, inadequate records storage and no established training program for its records personnel. Out of the 46 major provisions listed in the self-audit tool, UP failed to meet 7 provisions of the ISO 15490 and RA 9470. All units failed to comply with the following provisions:

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1. design and implementation a records system to carry out and support the records management processes of the institution; 2. existence of rules in the proper turnover of records to successor/NAP; 3. separation of records for disposal from those for further retention as suggested by NAP; 4. existence of a disaster recovery plan for records; 5. conduct of a self-audit / review of records management practices; 6. establishment of a preservation program for archival records; and, 7. provision for the regular review of training needs of personnel in-charge of records. It is very unfortunate that even the basic and most important best practices on records management are not performed by the records personnel of UP’s top-level offices. This mirrors the current skills and competencies of the records personnel of the University which are way below the accepted standards on records management. Detailed result of the self-audit tool is presented in Appendix I-A. As presented and discussed in the earlier sections, the researcher surmises that the common reason for non-compliance of the records personnel is mainly because of their unfamiliarity with the best practices prescribed by the ISO 15489 and RA 9470. This fact is also shown in the self-audit tool as the University got 0% for observance and familiarity with any regulatory environment related to records management. It would be best if UP administration could prioritize the training of

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the records personnel before any grand effort to improve and standardize the practice.

Common Records Problems in UP After presenting the current status of the records management practices in the University, this section describes the perceived status of and difficulties on the records management in UP. The results presented here are answers from the main respondents, heads of units and selected records clients of the University. Most of the heads of units answered that they are not satisfied on how the UP units handle their records. The President of the University, the head of the entire institution, also expressed his discontent about the records management practices of the University. The chancellors of UP Diliman, UP Los Baños, UP Manila, and UP Mindanao, as well as the Dean of UP Cebu also shared the same observation as the President’s. Only four heads (Secretary of the University, and the Chancellors of UP Visayas, UP Open University and UP Baguio) said that they are satisfied on the records management practices in UP. These feedback from the heads of units sustain the findings of the earlier committees which highlighted the poor state of records management in UP. Shown in Table 24 are the perceived records issues of the heads of unit. Note that only two heads said that they see no records issues in the University, particularly in their offices, as compared to the four satisfied heads which is mentioned earlier.

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Table 21 Perceived Records Issues Of Heads of Units Units

Common Records Management Issues Missing records; Misrouted records; Difficulty in retrieving/accessing records; Skills of the staff None

OP OSU UPD

Difficulty in retrieving/accessing records; Difficult prioritization: "urgent" label used on nearly everything

UPLB

Missing records, Misrouted records, Difficulty in retrieving/accessing records, Skills of the staff

UPM

Missing records; Misrouted records; Difficulty in retrieving/accessing records; Skills of the staff Missing records, Misrouted records, Difficulty in retrieving/accessing records None

UPV UPOU UPMin

Misrouted records; Difficulty in retrieving/accessing records; Skills of the staff

UPB

Skills of the staff (at least some)

UP Cebu

Slow routing or lack of knowledge on current status of action taken on records

Notice that two out of four satisfied heads have something to share about their perceived records issues. This may suggest that the heads maybe satisfied on how their offices manage records but still notice some inevitable records issues caused by the current state of records management in the University, like the issue raised by the Chancellor of UP Diliman regarding the difficulty in prioritization of records. He raised that almost all records received by his office are marked urgent.

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This again highlights the problems in the records system of the University, particularly in routing of records. The main respondents were asked to rate the following perceived records issues in storage and retrieval of records, perceived causes of the issues, and the current status of UP’s records management. Scores should be from 5 to 1 (5 – strongly agree, 4 – agree, 3 – neutral, 2 – disagree, 1 – strongly disagree). The results are surprising as the means of the results are generally at the rate of 3 which means that the respondents are more likely to be neutral in all the listed issues and situations.

However, OP, UPM-OC, UPMin-OC, and UPB-OC confirmed that

records issues on storage and retrieval are currently present in their offices (see Table 22). Six out of the 11 units answered that because old records are not destroyed at the right time, records issues on storage and retrieval are aggravated. This is another interesting finding as it was earlier mentioned that records disposition and retention is not a considered a solution on the inadequate records storage. But yet, majority of the records personnel admitted that improper RDS is one of the causes of records issues.

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Table 22 Common Difficulties Experienced in Storage and Retrieval of Records

records sought have been lost, destroyed, or misarranged records retrieval tools such as inventories, indexes, and lists, are inefficient old records are not destroyed at the right time there are some hindrances to attaining records filing system is not efficient Mean per unit

Mean

UP Cebu

UPB

UP Min

UPOU

UPV

UPM

UPLB RMO

UPLB

UPD

OP

Common Difficulties in Storage and Retrieval of Records

OSU

Units

5 1 3 5 2 4 3 1 4

3 4 3

5 1 1 3 1 4 3 3 5

5 5 3

3 3 4 1 4 4 5 3 5

5 1 3

4 1 3 4 2 4 3 1 5

5 2 3

5 1 1 4 1 4 3 1 4 4 1 2 3 2 4 3 2 5

1 3 3 4 3

Many respondents gave conservative rates for their perceived causes of records issues. Many disagree that issues are due to superiors’ disregard of their recordkeeping tasks. But a number of respondents agreed that the inefficiency of the records management system, problematic retrieval of appropriate records, and the problematic behavior of other workers aggravate the current records issues in their offices (see Table 23). Only three units admitted that the listed entries are the common causes of records issues.

None of the respondents shared a different

perceived causes of UP records issues. All the five selected records clients of the University answered that they are satisfied with UP’s records management but expressed the presence of the following records issues: hostile records managers/staff, absence of a standard practice, poor

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records retrieval skills - delay in providing requested records, and records provided sometimes don’t meet their stated criteria/requirements. These observations must be considered and addressed by the University as these reflect the services provided by UP to their stakeholders. Table 23 Perceived Causes of Records Problems in UP

Managers sometimes do not pay enough attention to our work Ineffective bureaucracy and slow communication channels Inefficiency of the records management system used for formal communication Retrieval of required records can be problematic Problematic behavior of other workers Mean per unit

Mean

UP Cebu

UPB

UP Min

UPOU

UPV

UPM

UPLB RMO

UPD

OSU

OP

Perceived Causes of Records Problems

UPLB

Units

2 3 4 3 1 2 3 1 3 1 1

2

4 3 3 4 1 4 3 1 3 1 3

3

4 5 2 1 1 4 3 1 4 3 5

3

4 4 3 1 1 4 3 1 5 3 4

3

4 4 3 1 2 3 3 1 5 2 2 4 4 3 2 1 3 3 1 4 2 3

3

Table 24 shows that majority of the units agreed that the administrative and legal regulations of UP are enough to support the smooth business processes of the University. But still, a few respondents signified their confirmation that records management in the University is poorly implemented. Note that four units agreed that the current records management of UP is running smoothly and six units signified their impartiality.

Only UPLB-OC stated its dissatisfaction on the

University’s handling of records.

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Table 24 Perceived Status of Records Management in UP

The institution's administrative system is operating without problems. There are no communication and coordination problems between managers and their subordinate staff. There are no communication and coordination problems among the staff. Administrative and legal regulations are adequate to support the smooth running of the work processes within your working unit. The records management system is effective and efficient for formal communication, legal requirements, and decision making in my university. Mean per unit

Mean

UPM UPV UPOU UP Min UPB UP Cebu

UPLB RMO

UPD UPLB

OP

Perceived Status of Records Management in UP

OSU

Units

2 5

2 5 1 2 3 5 1 4 4 3

3 5

3 3 1 2 3 5 3 4 5 3

3 5

3 1 3 2 3 5 2 4 3 3

3 5

2 3 5 5 3 5 3 2 4 4

3 5

1 2 5 4 3 5 3 3 5 3

3

3 2 4 3 3 4 3 3 4

4

In summary, the pre-identified records issues in Chapter I are confirmed to be the same perceived records issues of the respondents of the study. The absence of a standard records management program, ignorance on the benefits of effective records management program, hostile and confused records managers, poor storage and retrieval practice, and weak motivation to move forward are concomitant to the major records issues in the University. The records personnel may be impartial to the listed issues but still this impartiality tells that they could not agree that records management in UP is running effectively and efficiently.

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The following are the proposed solutions of selected records clients of the University to address the current records issues: 

Standardization of the records management practices.



Common tools like thesaurus, classification, indexes, and the likes, should also be considered in standardizing the program.



Professional and permanent staff should handle the records/archives of the UP units.



Records staff with proper training will surely help in the standardization of records management practices.



Aside from the training of records personnel, training all the administrators and other staff of the University will be a good approach.



Since eUP is now part of the business process of the University, electronic

records

management

must

be

studied

before

full

implementation and should also be founded from the basic principles of a sound paper-based records management program. All these suggestions are considered in coming up with recommendations laid out in Chapter V.

Support Towards a Standard UP Records Management Program UP has been very active in standardizing some of its business practices throughout its campuses. At present, the University has ongoing study to standardize its diploma and grading system. It already launched the UP DTS which standardizes

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the tracking system of the UP units and implemented eUP to have a common platform for information management of student academic information, human resources information, financial, supplies procurement and campus management, and executive information.

These are all in support of President Pascual’s OneUP

initiative. In line with these efforts, it is also timely to plan about the standardization of records management in UP. A way to address the low compliance rating and the many records issues is through the standardization of the records management practices in the University. This effort should be done collectively and should also consider inputs from all the stakeholders of the University for a comprehensive output. The standardization effort should capture not only the best practices prescribed by the regulatory environment but also the established best practices of the units of the University, hence collaboration is very important. At present, minor efforts to regulate some recordkeeping functions are in place. UP Manila’s Central Contact Point (CPC) Project in 2012 helps the campus in addressing issues on misrouted and missing records.

It also standardized the

receiving and releasing function of the entire campus. This project is UP Manila’s initial step in the major standardization of records management. According to UPMOC’s respondents, there is a pending plan for a standard program for its records. UP Mindanao also took preliminary steps to initiate the standardization effort. recently constituted a Records Management Team (RMT) in 2014.

It

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UPLB-RMO also mentioned their initiatives to share their experiences in standardizing the recordkeeping functions. They are tapped by UP Mindanao as resource persons by the RMT to help them in formulation of the team’s output which is due in July 2015. The chief records officer of the RMO also shared that they also went to UP Baguio, and plans to visit other campuses of the University as well. She also added that they had tried to reach out to UP administration through the Office of the Vice President for Administration to help the University in standardizing its records management, but they have yet to receive any reply (A. Talatala, personal communication, 30 April 2015). They plan to resend the letter but this time course directly to the President. In the formulation of a records management program for UP, the earlier efforts to study and standardize records management in the different units must be accounted. This is the reason why documentation is very important in this endeavor. As required by ISO 15489, UP being a system of universities and college should exert utmost effort to review the business operations in order to determine the needs of the University in terms of records. The reports of the records management committees in the past would have been a great help if only it was preserved and made available for standardization efforts. The University should also put this effort in its priority list to ensure completion and implementation.

The skills of the

records personnel, the implementers, should also be a consideration and their full support and motivation should be solicited.

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All the 32 respondents affirmed their support towards the standardization of management of University records. Eight out of the 10 heads of units said that they are willing to fund the standardization. Even the University President gave his assurance to fully support such effort. One of possible hurdles in the standardization of records management in UP is the readiness and mindset of the UP stakeholders. An office or a committee must be assigned to take the lead in this endeavor to ensure its success. In constituting a committee, it is important that the records personnel, University’s archivists, librarians, and experts from the School of Library and Information Studies in Diliman must be included as members. Another hurdle would be the reconciliation of diverse records management practices in the University. This would not be a problem if the practices are well-documented. This is not an easy task and may take a number of years before UP could craft the appropriate standard program for its records. Thus interim solutions may be devised like the formulation of records management, conduct of University-wide records inventory, and creation of standard guides in dealing with UP records. It was also opined by the OSU respondents that the standardization may be initiated in one office or campus first before the university-wide implementation. This will fasttrack

the

standardization

and

may ensure

greater

chances

of

success.

CHAPTER V SUMMARY, CONCLUSIONS AND RECOMMENDATIONS

After the presentation of results and analyses in Chapter IV, summary, conclusions and recommendations on the current status of records management in UP are laid out in this chapter.

Summary The results of the data gathering showed that UP’s records management practices are far beyond the best practices prescribed by ISO 15489 and RA 9470. The University’s overall compliance rate is just 13% as measured by the self-audit tool. The high rate of non-compliance (63%) calls for UP to study and adopt the best practices prescribed by the two regulations.

This low compliance rating was

supported by the number of issues raised by the stakeholders of UP. In spite of the absence of a standard program, some UP records offices/units have met a number of provisions of the ISO and RA. UPLB-RMO got 52%, OSU got 28% and UPD-OC achieved 17% compliance ratings. These offices performed well in managing its records compared with the other top-level offices in UP. Reviewing and sharing the established best practices of these units throughout the campuses will help achieve higher compliance rating and may also expedite the standardization of records management in the University.

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Principal Findings of the Study On UP’s Compliance with ISO 15489 and RA 9470 The self-audit tool measured UP’s overall compliance rating with ISO 15489 and RA 9470 at only 13%. The highest compliance rating was achieved by UPLBRMO with 52%, followed by OSU with 28% and UPD-OC with 17%. The least compliant units were UPV-OC and UPB-OC with 4% and UP Cebu with only 2% compliance ratings. In all the listed best practices in the self-audit tool, UP was able to achieve 100% compliance rating in only one aspect, particularly the use of logbook or equivalent system in the registration of records.

UP also accumulated a total

compliance rating of 73% for the allocation of storage for non-current record. The University got 64% compliance rating for the recent attendance of its records personnel at training programs. But despite high ratings on these practices UP still needs to address a number of issues on these practices. Unfortunately, UP got 0% to less than 50% compliance ratings for a number of entries in the self-audit tool. Non-compliance of the University may be attributed to the non-familiarity of records personnel with any regulations on records management, particularly the ISO 15489 and RA 9470. Although a number of the respondents said that they are aware of said regulations, its provisions are still not implemented in the campus as compliance is not a major concern of UP. Also, most records personnel are not aware of the punishments under the law for records-related offenses.

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Only two records offices were officially created in the University.

The

Office of the Secretary of the University and of the Board of Regents (OSU) was created through the Charter of UP (RA 9500). The second one is the UPLB-RMO. Additionally, only 2 out of 17 records personnel are holding records officer positions. Except for respondents from OSU, UPD-OC, and UPLB-RMO, all the other respondents perform records management tasks in addition to their regular office workload. The University has no prescribed program and policy in managing its records. It has yet to design and implement a records system to carry out and support its records management processes. Because of the absence of a standard program and policy, units like OSU, UPD-OC and UPLB-RMO have crafted their own manual and policy for their daily operations.

These documents are deemed

necessary in crafting a comprehensive program and policy for UP. Other UP units have no proper documentation of their procedures, rules, and practices in managing their records thus relying heavily on their experiences and knowledge about the records of the office. On UP’s Records Management Practices and Tools Majority of the records managed by the subject units are considered vital records.

But in spite of this, effective management of University records is

oftentimes neglected. Directives relating to records management are not observed and strict compliance is not monitored in all units of the University.

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It was observed that some units have similar practices in managing its records, particularly in controlling the creation of records. One evident example is the use a letter-number code for the issuances of the heads of units. In records registration, all subject units use logbooks and/or DTS. These systems are also utilized to track and retrieve records. Two units are now using electronic document management system (EDMS) which is a step up system compared to logbooks and DTS. Only 3 out of the eleven subject units (OSU, UPD-OC, and UPLB-RMO) have file classification guides in place. Most of the respondents depend on their listing of record folders or knowledge of the records which they have filed. Almost all units, except for UPD-OC, expressed their records storage problems. The steel cabinets, the common records storage facility in all units, are almost full. Respondents are now using boxes placed on top of their desks/cabinets to accommodate the fast growing numbers of records. A number of respondents said that their records storage areas are not only for records but for other office stuff, they used the term ‘bodega’ to describe their records storage areas. Only the respondent from UPD-OC said that he has no issues on records storage as it was recently renovated its office and a spacious records storage area was well-considered. To resolve their records storage issues, UPLB-OC, UPLB-RMO and UPOU-OC expressed their plan to renovate and add more records storage areas in their respective offices.

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Except for OSU and UPLB-RMO, all other UP units have no established records loaning system. Photocopies are given, instead of the original records, to prevent records loss. The well-established UPLB-RMO’s loaning system is clearly stated in its manual of operations. Despite the inadequate records storage in UP, it has not transferred any of its record holdings to NAP or any government agency and has no plan of transferring its records yet. By practice, most of the units transfer their archival records to their respective libraries for proper handling. This is done through their self-generated transfer list form. The scheduled records inventory and appraisal every year, as prescribed by ISO 15489 and RA 9470, is strictly observed by only three units OSU, UPD-OC and UPLB-RMO.

Their records are also examined every year to

identify valueless records for disposal and transfer to the library. For other units, this procedure is conducted only during free-time or as the need arises. Only UPLBRMO has an agency records retention and disposition schedule which is according to NAP’s GRDS. Two other offices, OSU and UPD-OC, are implementing the GRDS of NAP. Some records personnel are aware of NAP’s GRDS but they have yet to dispose any record, particularly the young campuses like UPOU, UP Mindanao, UP Baguio and UP Cebu. Again, these practices are not properly documented and the units have no clear rules and procedures in conducting such transaction. It was also revealed that UP has no disaster recovery plan for its records. Even though the record holdings of the top-level offices are considered vital, the administration fails to secure the preservation of these records.

Procedures on

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preservation and restoration of records are also not available for archival records as the respondents transfer the responsibility to the librarians. This may also be the major reason why a number of vital records are lost in UP’s records system like the highlighted untraceable studies on the records management in UP. Records management tools are present in almost all subject units except for UPLB-OC, UPM-OC and UPV-OC.

But even with the presence of such tool,

records personnel still fail to consult it for a standard handling of records. Their personal experience and knowledge on recordkeeping are mostly used in dealing with records. UP has yet to develop a training program for its records personnel. Some records personnel shared that they have not attended training, even the basic ones. It was proposed that UP should develop a training program for its records personnel, and to include the administrators and other employees in the program. A training program coordinator should also be appointed to monitor the administration of the program in all UP units. Some units are now managing electronic records. OP and OSU now use Laserfiche as their EDMS program. Hardware requirement, back-up system and maintenance are available but the offices are yet to finalize a manual on the management of electronic records using Laserfiche. There are also discussions on the possible adoption of Laserfiche into the eUP Project. UPD-OC and UPLB-RMO use their self-acquired software to manage their electronic records. Among the four

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offices, UPLB-RMO has the most sophisticated electronic records management system which is also well-documented. RA 9470 imposed the constitution of a Records Management Improvement Committee in all government units but UP has not constituted a standing committee on the management of its records. Some committee efforts were documented in 1970s to 1980s but none during the current and past administrations. However, UP Mindanao has constituted a records management team (ad-hoc) in 2014 which will provide output this July 2015. On Records Issues Confronted by UP One clear evidence of the poor state of UP’s current records management is the existence of records problems. The survey revealed that 6 out of the 10 heads of units said that they are not satisfied on how the records personnel handle the University records. They observed that records are sometimes missing or misrouted, a number of records are difficult to retrieve and access, and the skills of the staff are inadequate to address the records needs of the office.

One chancellor even

highlighted the difficulty of the records personnel in terms of records prioritization as almost all records are labelled urgent. Additionally, majority of the records personnel opted to provide neutral answers when asked about these current records issues. However, some respondents confirmed that they are experiencing issues on records storage and retrieval, primarily because ‘old records are not destroyed at the right time’. A number of

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respondents agreed that the inefficiency of records management and records retrieval systems are their perceived causes of records issues in their offices. All the five selected records clients of the University answered that they are somehow satisfied with UP’s records management but highlighted some records issues like hostile records managers/staff, absence of a standard practice, poor records retrieval skills, and provision of inappropriate records. Records clients also gave recommendations to address the current records issues in the University. On Standardization of UP Records Management All the 32 respondents said yes to the standardization of records management in UP. Only two heads of units said that they are not ready to commit any financial support to this standardization effort. It was highlighted that the President of the University is willing to provide financial support, regardless of amount, for this endeavor. The study also discussed some minor efforts of the different units of UP to temporary address the absence of a common records management program in the University. However, the readiness of the UP stakeholders and the reconciliation of diverse records management practices are some of the hurdles in the standardization of records management in the University.

Conclusions Given the findings listed above, the researcher concludes that there are indeed problems in the current recordkeeping practices of the University and

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continuous neglect will put its vital records in peril. The study revealed that UP’s records management is below the standards prescribed by ISO 15489 and RA 9470, with only 13% compliance rating. This alarming result shows that in spite of the findings presented by earlier studies, the University still fails to pursue the proposed recommendations. The study also highlighted the practices of the University in the different records management processes. It is presumed that the University often discount the importance of its records and its effective management. The absence of a central records office, standard records management program and tools, training program for records personnel, and collective and sustainable effort to standardize the management of UP records are some of the bases for such assumption. The diverse practices throughout the University is attributed to UP’s inability to document the established practice. The continued negligence of the expert’s recommendations, like the reports of the committees that studied the recordkeeping practices in UP, is also a strong basis. It was even revealed that a number of archival records are lost in the records system of the University. The problems cited in the 1980s are still haunting the University up to this present time. It was also revealed that the compliance with ISO 15489 and RA 9470 is not a major concern of the University. Submission to these regulations is one best way to standardize the handling of UP records.

It was evident that UP’s records

personnel are unaware about the provisions of the two regulations and the benefits of

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a sound records management program. These are the main reasons for the high noncompliance rating of the University with the best practices on records management. A number of records issues were raised and discussed in the study. It is recommended to standardize the program, to empower the records personnel, and to craft common records management tools to resolve the cited issues. These issues will never be resolved by deferring the identified solutions.

The continued

negligence of these issues will jeopardize not only the vital records but the institution as well. Appropriate approach and action should be undertaken as soon as possible. A number of efforts to study and regulate some of UP’s records management processes were highlighted in the study, but the efforts lack pursuance of recommendations. Strict compliance is also not monitored. Budget wise, with the commitment of the current administration, the University is ready to spin off its standardization effort.

Although all respondents said that they support UP’s

standardization of records management, some identified hurdles need to be addressed first. The present capability of the records personnel will surely slow down the process and the absence of a concrete basis for a standard records management for UP is also one major hurdle in such endeavor.

Recommendations As pointed out in the major findings and conclusions of the study, the researcher recommends the following steps:

126

Document the Records Management Practices The absence of documentation on the current records management in UP makes it difficult to initiate the standardization and improvements. Securing and monitoring of proper documentation of established practices in the University will enable reconciliation of diverse practices and improvement of the existing practices. These should be promulgated to all concerned staff and must be monitored for compliance and appropriate preservation for future use. Preservation of all available documentations should also be guaranteed by the University. Establishment of Records System, Program, and Tools, and Monitor Compliance Another important aspect that UP fails to address is the effort to establish a standard system, program, and tools. Formalization of records system, and records management program and tools for use of all records personnel ensures regulation of the process. Regular review of these must be in place. The tools should be made accessible to all the staff performing recordkeeping tasks. Records retention and disposition schedule for UP records should also be a vital part of the records management tools of the University. The conduct of an overall review of the business operations and processes, and record holdings of the University should be a consideration for a comprehensive records system and records management program. It must also be noted that archival management must be closely linked with records management. A pilot run may be considered before the grand implementation to cut down the cost considering the vast and diverse UP campuses and units. The constitution of a body to audit and

127

monitor UP’s records management must also be considered, as mandated by RA 9470. The University may opt to identify the office/official who will take the lead in this endeavor. A team would also be a good option. Plan for the Establishment of a Central Records Office for UP As mandated by law, UP should pursue the creation of a central records and archives unit. Manpower and budgetary commitment from the government should be included in the proposal. This plan should be intertwined to the establishment of records system and program. Review the Current Staffing Pattern and Recruitment Criteria for Records Personnel The study highlighted the poor staffing pattern of the University which is one of the main causes of records issues. The records personnel are mainly accountable for the recordkeeping function in the University. They should be permanent staff members.

Change in records personnel staffing should be planned to avoid

interruption of the process. The establishment of a training program and designation of a coordinator should be considered. Provide Appropriate Records Management Facilities Aside from manpower, facilities are another important aspects in records management. It was discussed in this study that UP suffers from inadequate records storage facilities. Given this, proper records storage areas should be addressed as soon as possible to preserve the integrity of records.

It is ideal to have a common

record center for all in-active records of all UP units. While the plan for additional

128

records storage facilities is in the pipeline, the University should conduct a comprehensive review of its record holdings to identify records for retention and disposal/transfer. It would be helpful for every records personnel to be acquainted with NAP’s GRDS. The University should also work towards the creation of its agency records retention and disposition schedule. Specialization of Future Studies on UP Records Management This study provided a holistic assessment of the records management in UP. However, this study is limited only to administrative records and respondents were from top-level offices.

Further studies focusing on each campus, records

management process, and record type would greatly help UP in building the necessary documentation it will need to initiate the standardization effort. UP’s has accumulated voluminous vital records over the years. records embody the memories of UP.

These

Since 1970s, the earliest available

documentation on UP’s records management, it has been an issue on how UP can effectively manage its numerous records. But until now, a comprehensive effort is still in vain. The University should not disregard the poor state of its records management as the continuous existence and leadership of UP as the only national university in the Philippines would only be secured through the help of an effective program for its records. UP must move forward and at the same time ensure the preservation of its identity.

REFERENCES

Unpublished Works: Aquino, M. (1984). Records management practices and archives administration at the Mindanao State University : a survey with a plan for the establishment of a university archives and records center. Unpublished M.L.S. special problem, University of the Philippines Diliman, Institute of Library Science. Buenrostro, I.S. (2010). Preserving the postwar archives heritage of the Cities of Bulacan. Unpublished M.L.I.S. thesis, University of the Philippines Diliman, School of Library and Information Studies. Ching, M.C.S. (2003). Records retention and disposition practices of the University of the Philippines Diliman Health Service. Unpublished B.L.I.S. undergraduate thesis, University of the Philippines Diliman, Institute of Library and Information Science. Golfo, M. (2010). Towards a standard archives and records management system for government corporation and financial institutions in Metro Manila. Unpublished M.L.I.S. special problem, University of the Philippines Diliman, School of Library and Information Studies. Granda, Y. (1981). A Survey of records management practices in selected colleges and universities in Quezon City and Manila. Unpublished M.L.S. special problem, University of the Philippines Diliman, Institute of Library Science. Hortillo, F. (1990). A Proposal for the establishment of a university archives and records center for the University of the Philippines in the Visayas. Unpublished M.L.S. special problem, University of the Philippines Diliman, Institute of Library Science. Juanson, V.S.C. (2012). A Study of the compliance of selected barangays in Quezon City to relevant laws and regulations on archives and records management. Unpublished B.L.I.S. undergraduate thesis, University of the Philippines Diliman, School of Library and Information Studies. Loyola, C.L. (2001). Toward a common computer-based document tracking system in U.P.Diliman. Unpublished M.L.S. special problem, University of the Philippines Diliman, Institute of Library Science.

130

Mallari, R. (2000). A Study of recordkeeping practices of the administrative and academic offices of the New Era University. Unpublished M.L.S. special problem, University of the Philippines Diliman, Institute of Library Science. Macapia, M.P. (2014). An Assessment of the resources, operations and services of the records management of the Manuel S. Enverga University Foundation Main Campus and its affiliate campuses within Quezon province. Unpublished M.L.I.S. special problem, University of the Philippines Diliman, School of Library and Information Studies. Mampusti, D.S.L. (2014). Study of the record keeping and archiving practices of the National Housing Authority. Unpublished M.L.I.S. special problem, University of the Philippines Diliman, School of Library and Information Studies. Manahan, M. (2009). A Study on the records retention and disposition practices of the Commission on Higher Education. Unpublished B.L.I.S. undergraduate thesis, University of the Philippines Diliman, School of Library and Information Studies. Nofuente, E. (1981). Records management practices of international organizations in the Philippines : A Survey. Unpublished M.L.S. special problem, University of the Philippines Diliman, Institute of Library Science. Pascual, A. (2011, September 16). Making UP a Great University. Investiture Speech. Delivered from UP Theater, Diliman, Quezon City. Peoro, R. (2007). A Study of the records management practices of the University of the Philippines – Office of the Student Regent. Unpublished B.L.I.S. undergraduate thesis, University of the Philippines Diliman, School of Library and Information Studies. Office of the UP Vice President for Planning and Finance - Management Review Committee – Subcommittee III on Personnel and Administrative Services. (1981). Report on Records Management. Unpublished Committee report, University of the Philippines System. University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office. UP Los Banos - Records Management Office (UPLB-RMO). (2004). RMO Manual of Operations and Procedures. Unpublished manual. University of the Philippines Los Banos, OVCA.

131

Sueno, B. (2009). UP Docutrak: An Assessment of an In-house Developed Document Tracking System (DTS). Unpublished B.L.I.S. undergraduate thesis, University of the Philippines Diliman, School of Library and Information Studies. Articles and Book Chapters: Alexander-Gooding, S., and Black, S. (2005). A national response to ISO 15489: A case study of the Jamaican experience. Information Management Journal, 39(2), 62-66. Retrieved from http://search.proquest.com/docview/227755712?accountid=141440 Carlisle, DK. (1997). ARMA votes for international standard. NNQ: news, notes, and quotes 21 (March): 8. Crockett, M. and Foster, J. (2004). Using ISO 15489 as an Audit Tool. The Information Management Journal, 38 (July/August 2004), 46-53. Retrieved on 10 December 2014 from http://www.arma.org/bookstore/files/CrockettFoster.pdf. Cumming, K. (2003). Evolution and requirements of ISO 15489. Retrieved on 30 November 2014 from http://archives.govt.nz/sites/default/files/katec-0310.pdf. Hardiman, R. (2014). NHSBSA Records Management Framework. Retrieved on 3 January 2015 from http://www.nhsbsa.nhs.uk/Documents/NHSBSACorporatePoliciesandProced ures/NHSBSARM019_RM_Audit_Framework_V2_2014.pdf Health & Social Care Information Centre (HSCIC). (2015). An Approach to Records Management Audit. Retrieved on 10 December 2014 from http://systems.hscic.gov.uk/infogov/records/it04a.pdf Külcü, Ö. (2009). Records Management Practices in Universities: A Comparative Study of Examples in Canada and Turkey. Canadian Journal Of Information & Library Sciences, 33(1/2), 85-107. Oliver, G . (2007) "Implementing international standards: first, know your organisation", Records Management Journal, Vol. 17 Iss: 2, pp.82 – 93 Mcleod, M. (2003). “Assessing the Impact of ISO 15489 – a preliminary investigation”. Records Management Journal, Vol. 13 Iss. 2 pp. 70-82. Retrieved on 25 January 2015 from http://dx.doi.org/10.1108/09565690310485298.

132

Official Gazette. (2009). National Archives of the Philippines, p.1715-1740. Retrieved on 9 December 2014 from ftp://ftp.dost.gov.ph/PUB/DOSTCO/RECORDS/FREQUENTLY%20REQU ESTED%20RECORDS/Records%20Disposal.pdf. National Archives of the Philippines. (n.d.). Primer on RA 9470. Retrieved on 12 December 2014 from http://www.nationalarchives.gov.ph/?wpdmact=process&did=NS5ob3RsaW5 r Republic Act 9470. National Archives of the Philippines Act of 2007. Retrieved on 11 December 2014 from http://www.lawphil.net/statutes/repacts/ra2007/ra_9470_2007.html Republic Act 9500. An Act to Strengthen the University of the Philippines as the National University, 2008. Retrieved on 11 December 2014 from http://www.lawphil.net/statutes/repacts/ra2008/ra_9500_2008.html Stephens, D.O. (2001). “The world’s first international records management standard”. The Information Management Journal, Vol. 35 No. 2, p.68 Xiaomi, A. and Jiao, H. (2004). Assessing records management in China against ISO 15489 and the implications. Records Management Journal, 14(1), 33-39, November 5, 2013, from Proquest Central.

Electronic Sources: AustLII. (2010). New South Wales Consolidated Acts. In State Records Act 1998. Retrieved on 24 August 2012, from http://www.austlii.edu.au/au/legis/nsw/consol_act/sra1998156/s3.html#recor d Business Dictionary.com. Retrieved on 3 January 2015 from http://www.businessdictionary.com/ eUP Project. Retrieved on 15 January 2015 from http://e.up.edu.ph/ ISO 15489-1. (2001). Information and Documentation – Records Management – Part 1: General. Retrieved on15 December 2014 from http://www.taoiseach.gov.ie/attached_files/Pdf%20files/30%20ISO.154891%20-%20IRISH%20VERSION.pdf

133

ISO 15489-2. (2001). Information and Documentation – Records Management – Part 2: Guidelines. Retrieved on 15 December 2014 from http://www.taoiseach.gov.ie/attached_files/Pdf%20files/30%20iso.154892%20-%20IRISH%20VERSION.pdf National Archives Australia. Retrieved on 3 January 2015 from http://www.naa.gov.au/ UP Gazette. (1976). Retrieved on 15 January 2015 from http://osu.up.edu.ph/the-upgazette/ UP Gazette. (1981). Retrieved on 15 January 2015 from http://osu.up.edu.ph/the-upgazette/ UP Gazette. (1982). Retrieved on 15 January 2015 from http://osu.up.edu.ph/the-upgazette/ UP Gazette. (1983). Retrieved on 15 January 2015 from http://osu.up.edu.ph/the-upgazette/ UP Gazette. (1988). Retrieved on 15 January 2015 from http://osu.up.edu.ph/the-upgazette/ Official website of the University of the Philippines. Retrieved on 15 January 2015 from http:// www.up.edu.ph Official website of the Office of the Secretary of the University and of the Board of Regents. Retrieved on 15 January 2015 from http:// osu.up.edu.ph

UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wpcontent/uploads/2013/04/UP_StatBook_2013.pdf University of the Philippines. (2014). Document Tracking System User Guide/Manual. Retrieved on 5 May 2015 from http://dts.up.edu.ph/media/dts_user_guide.pdf The U.S. National Archives and Records Administration. (2001). Records Managers. In Frequently Asked Questions about Records Management in General. Retrieved on 24 August 2012, from http://www.archives.gov/recordsmgmt/faqs/general.html#whatrm

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Date:

Unit : UP System

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470. For detailed desciption, please refer to per unit self-audit sheet. Legend: C - Compliant, P - Partial compliance, N - non-compliant

Best practices in records management

5 6

UP Cebu

N

N

N

N

0%

27%

73%

N

P

N

N

P

9%

36%

55%

N

N

N

N

N

N

18%

27%

55%

Y

N

N

N

N

N

N

18%

9%

73%

N

N

N

N

N

P

N

N

0%

9%

91%

P

N

P

N

N

N

N

N

N

0%

27%

73%

P

P

N

P

N

N

N

N

N

N

0%

27%

73%

P

P

P

N

Y

N

N

N

N

N

N

9%

27%

64%

N

P

P

N

Y

N

N

N

N

N

N

9%

18%

73%

N

N

N

N

N

N

N

N

N

N

N

0%

N

P

P

N

Y

P

P

P

P

P

P

9%

UPD

UPLB

N

P

P

N

P

N

N

N

P

P

N

Y

N

P

Y

P

P

Y

Appointed qualified records officer/records custodian and archivist

N

Y

P

N

Constituted a Records Management Improvement Committee

N

N

N

Established a comprehensive records management program

N

P

N

Has a records management policy adopted and endorsed at the highest decision-making level and promulgated throughout the organization, 7 with schedule of regular review 8

UPB

OSU

Observance of regulatory environment related to records management 1 (e.g. ISO 15489, RA 9470) Use of approved / established records management tools (e.g. classification and filing guides, vocabulary controls, indexing, 2 allocation of number and code) Has an official records and archives office / unit approved by NAP and 3 DBM 4

UP Min

UPLB UPM RMO

OP

Has manuals of instructions/operations on records management

Designed and implemented a records system to carry out and support 10 the records management processes of the institution

Standardize the process in capturing records considering classification and indexing, logical arrangement, registration in the records system 11 and metadata assignment

Average Average Average Partial NonCompliance Compliance Compliance

0% 100% 73%

18%

Appendix I-A

Documented the responsibilities of each records personnel and all other employees of the institution who perform tasked related to management 9 of records

UPV UPOU

UP Min

UPB

UP Cebu

P

N

P

N

9%

64%

27%

Y

Y

Y

Y

Y

100%

0%

0%

P

P

P

P

P

P

0%

91%

9%

P

N

N

P

N

N

N

0%

27%

73%

P

Y

P

P

P

P

P

P

9%

82%

9%

P

N

Y

N

N

P

N

P

P

18%

45%

36%

N

Y

N

N

N

N

N

N

N

N

9%

0%

91%

N

N

P

N

N

N

N

N

N

N

No

0%

9%

82%

P

Y

Y

Y

Y

Y

Y

Y

Y

P

P

73%

27%

0%

N

N

P

N

P

N

N

N

P

N

N

0%

27%

73%

N

N

P

No

P

N

N

N

N

N

N

0%

18%

73%

Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records

P

Y

P

Y

Y

Y

P

P

P

P

P

36%

64%

0%

Provided rules on how to handle confidential files

N

N

P

N

P

N

N

N

N

N

N

0%

18%

82%

Has established finding aids in retrieving and accessing records

P

Y

P

P

Y

P

N

P

P

P

P

18%

73%

9%

Has tracking system for active records

P

Y

P

P

Y

P

P

P

P

P

P

18%

82%

0%

Has an established records loaning system

N

Y

P

N

Y

N

N

N

P

N

N

18%

18%

64%

Has rules in the proper turnover of records to successor/NAP

N

N

N

N

N

N

N

N

N

N

N

0%

0% 100%

N

N

N

N

Y

N

N

N

N

N

N

9%

0%

Best practices in records management

OSU

UPD

UPLB

P

P

P

N

P

Y

P

Y

Y

Y

Y

Y

Y

P

N

P

P

P

N

N

P

N

Established standard in registration of records

P

N

P

Has prescribed file classification system for uniform filing system

P

Y

N

Established a centralized receiving/releasing and messengerial units 12 under the accountability of the records officer Use of logbook or equivalent to record all official records in 13 chronological order 14

Established control system in records creation

Use of retention and classification codes as soon as the records is 15 created / captured 16 17

Has adequate records storage integrated with the overall records 18 management program Storage areas allocated to hold physical records have adequate space to 19 accommodate anticipated growth

Has storage for non-current record integrated with the overall records 20 management program Established an Agency Storage / Mini Archives for non-current records 21 preparatory their transfer to NAP Has set standards and criteria to maximize filing equipment and floor 22 space 23 24 25 26 27 28

UPLB UPM RMO

OP

Has an established guidelines on records transfer compliant with NAP 29 rules

135

UPV UPOU

Average Average Average Partial NonCompliance Compliance Compliance

91%

Best practices in records management 30

35 36 37 38 39 40 41 42 43 44

UP Min

UPB

UP Cebu

N

N

N

N

9%

N

N

N

N

N

0%

N

N

N

N

N

N

27%

0%

73%

Y

N

N

N

N

N

N

9%

9%

82%

N

Y

N

N

N

N

N

N

9%

0%

91%

N

N

N

N

N

N

N

N

N

0%

0% 100%

Y

Y

N

Y

N

N

N

N

N

N

27%

0%

73%

N

N

Y

N

Y

N

N

N

N

N

P

18%

9%

73%

N

N

P

N

N

N

N

N

N

N

N

0%

9%

91%

N

N

N

N

N

N

N

N

N

N

N

0%

0% 100%

P

P

P

N

N

P

P

P

OSU

UPD

UPLB

N

P

P

N

Y

N

N

N

N

N

N

N

N

N

Y

Y

N

Y

N

N

P

N

Use of retention code (RDS/GRDS) before the records are filed

N

N

N

Has a disaster recovery plan for records

N

N

N

Developed clear rules in transferring records to archives

Separation of records for disposal from those for further retention as 31 suggested by NAP Compliant with the General Records Disposition Schedule (GRDS) of 32 NAP Uses an approved Retention Disposition Schedule (RDS) by NAP, 33 listing all records which are not found in the GRDS 34

UPLB UPM RMO

OP

Has an approved records inventory and appraisal schedule, at least once a year, with full public accessibility Conduct periodic examination of records at least once a year to identify valueless records for disposal Has records preservation and restoration procedures as consulted with NAP Has recently performed a self-audit / review of records management practices Has preservation program for archival records Has an established system in managing electronic records Has adequate digital storage for electronic records Has necessary back-up systems for electronic records Records management training is included in the organisation’s Education, Training & Development Plan

45 Has recently sent records personnel to a training There is provision for the regular review of training needs of personnel 46 in-charge of records

N P Y P Y

N

N P Y P Y

N

N P Y P Y

N

UPV UPOU

N N N N

N P Y Y

N N N N

N N N N

N

Y

N

N

N

P

N

N

N

N

Note: Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance.

136

N N P N

N N N N

Y

Y

N

N

Overall rating:

Average Average Average Partial NonCompliance Compliance Compliance

N N N N

N N N N

0% 0% 36% 9%

Y

N

64%

N

N

N

0%

0%

13%

18%

73%

0% 100%

0% 100% 36% 64% 9% 55% 27% 64%

64%

36%

0%

36%

24%

63%

0% 100%

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Office of the President

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management 1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

3

Has an official records and archives office / unit approved by NAP and DBM

4 Appointed qualified records officer and archivist Constituted a Records Management Improvement 5 Committee

Compliance Yes/No/ Partial

Evidence

The records personnel is familiar with ISO 15489 and RA 9470. She has plans to comply with said regulations. Though the records personnel has a copy of NAP GRDS, she admitted that she barely consult the guide. She has a general listing of all folders in their steel cabinets, as it is also available in the EDMS program of the office. The office also has a draft manual on the use of EDMS program.

No

No

Partial

Remarks

OSU manages the AOs/Memos/EOs issued by the President. But these are not the only records that OP creates and maintains. Because of this set-up, OP decided to capture all records requirement of the office for efficiency. All archival records are transferred to the library.

It is suggested that the mandates of OSU Records Unit be reviewed. The creation a records office/center for UP System Administration (UPSA), and evetually for the entire University, should be the the ultimate goal. Records management is an additional task of the staff.

No

Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

No

137

Best practices in records management Established a comprehensive records management program Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review 6

8

Has manuals of instructions/operations on records management

Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

Designed and implemented a records system to 10 carry out and support the records management processes of the institution

Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer

Compliance Yes/No/ Partial

Evidence

Remarks

No

Has no established records management program.

No

Has no records management policy.

Partial

In 2000, the senior executive assistant made a compilation of guides on how to manage the records in OP. This was documented but was not formalized for approval. The guides need to be revisited. Needs compilation and formalization of these guides into a manual of records management function in OP. There were also draft guide made for the management of electronic records since the office started its EDMS program in 2012.

No

Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.

No

Has not designed and implemented a records system. This should be a collective effort of all UP units.

No

Records capture process is not documented. The process depends on the practice of the records personnel.

Partial

OP has a staff in-charge of receiving and releasing of records. The OP staff in-charge of records supervises Documenting this practice assures continuity amidst the receiving and releasing of records. But for change in administration or change in work force. UPSA, OSU is the central receiving/releasing unit.

138

Best practices in records management 13

Use of logbook or equivalent to record all official records in chronological order

14 Established control system in records creation

Compliance Yes/No/ Partial

Yes

Partial

Evidence

The OP staff in-charge of the receiving/releasing area OP also uses UP DTS and EDMS (Laserfiche) in maintains a logbook for all records of OP. records capture and registration. There is an established system but some areas need to be documented. All issuances of the President are controlled through the use of letter-number codes listed in labelled folders. These folders are compiled every year. The senior executive assistant, Special Assistant to the President and the President review all Review and document the process. outgoing communications prior to release.

Aside from this code, the administration has issued AOs to standardize the format of all UP communications. 15

Use of retention and classification codes as soon as the records is created / captured

16 Established standard in registration of records

Has prescribed file classification system for 17 uniform filing system 18

Has adequate records storage integrated with the overall records management program

Remarks

No

OP is not keen in observing the retention and disposition schedule as its records are mostly convenience files and are just scanned copy of the original. The original records are released to OSU.

Partial

The logbook system of the office captures the following elements: subject/short description, sender, and date of receipt. The UP DTS and EDMS also provide template for capturing metadata of the records.

Partial

In 2000, the senior executive assistant made a classification scheme for OP records. This has been Review and document the process. the manner of classifying and filing of OP records.

No

The records registration system is not documented. Only created/captured vital records are assigned with metadata upon registration for easy retrieval. Not all records are also entered to the UP DTS/EDMS. Establishing the system will standardize the process.

Since the UPSA has a records unit (OSU), many UPSA offices have no allocated space for records storage. Steel cabinets and shelves are placed in 139

Best practices in records management Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth

Compliance Yes/No/ Partial

Partial

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP

No

Has set standards and criteria to maximize filing equipment and floor space

Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

24 Provided rules on how to handle confidential files

No

Has established finding aids in retrieving and accessing records

Partial

25

26 Has tracking system for active records

Steel cabinets, boxes, and shelves are the common storage facilities for non-current records. OP has no Most paper records are being converted to electronic dedicated recods storage area/room. The records records since 2012 to address the existing records storage facilities are located in available spaces. storage problem.

No Partial

Partial

Remarks storage. Steel cabinets and shelves are placed in available spaces, sometimes in awkward areas. To address the scanty records storage area of the office, OP started its digitization program in 2012 through the use of the Laserfiche program.

No

Has storage for non-current record integrated with 20 the overall records management program

22

Evidence

Because of the peculiar storage area, this makes the records safe from any unauthorised access.

Has no standard/criteria to maximize filing equipment and floor space. Needs proper documentation. By practice, release of any confidential record must be approved by the President. This should be documented. Needs proper documentation.

Most paper records are converted to electronic records. EDMS/Laserfiche is used to efficiently find A follow-up system must be integrated in the program. OP has problems in tracking active and track records. records, those referred to other offices, as it lose track of these records. Needs proper documentation.

140

Best practices in records management

27 Has an established records loaning system

28

Has rules in the proper turnover of records to successor/NAP

Compliance Yes/No/ Partial

No

No

Has no established rule.

Has an established guidelines on records transfer compliant with NAP rules

No

30

Developed clear rules in transferring records to archives

No

32 33 34

35 36 37 38 39

Separation of records for disposal from those for further retention as suggested by NAP Compliant with the General Records Disposition Schedule (GRDS) of NAP Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS Use of retention code (RDS/GRDS) before the records are filed Has a disaster recovery plan for records Has an approved records inventory and appraisal schedule, at least once a year Conduct periodic examination of records at least once a year to identify valueless records for disposal Has records preservation and restoration procedures as consulted with NAP Has recently performed a self-audit / review of records management practices

Remarks Many offices are aware of the EDMS program of OP. Hence, most of UP units request copies of records to be sent via email. OP should establish rules on sharing of electronic records to safeguard the records as well as the records personnel of OP.

29

31

Evidence

By practice, non-active and archival records are transferred to the University Archives and Records Depository (UARD), UP Main Library. The office uses its own version of transfer list form. There is no clear schedule and guide on OP's records transfer.

No

Has no established practice.

No

Though the records personnel has a copy of NAP GRDS, she admitted that she barely consult the guide. RDS is not a concern for OP records personnel as its records are mostly convenience files.

No No

Not being practiced.

No

OP's last comprehensive records review was in 2000.

No

The office has no records disaster recovery plan.

When storage is almost full or during free time, the records personnel examines the records to identify valueless records.

No No

The office has no program for this.

No

Has no records management audit plan. 141

Best practices in records management 40 Has preservation program for archival records 41

Has an established system in managing electronic records

42 Has adequate digital storage for electronic records

Compliance Yes/No/ Partial No

Partial Yes

Has necessary back-up systems for electronic 43 records

Partial

Records management training is included in the 44 organisation’s Education, Training & Development Plan

Partial

45 Has recently sent records personnel to a training

Yes

46

No

There is provision for the regular review of training needs of the personnel Findings:

Yes No Partial

Evidence

3 30 13

OP records are now almost 80% electronic. The electronic records are managed through the Laserfiche Program.

Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.

Remarks The office has no program for this. Documenting this effort will assure continuity amidst change in administration or change in work force. It would be helpful if OP could have a manual for managing its electronic records. OP has three external hard disks. The office has plan to perform back-up from Laserfiche to capture the folders, sub-folders and metadata of each record in the EDMS. This is a pending request to eUP Team. Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program. Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

7% 65% 28%

142

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit :Office of the Secretary of the University and of the Board of Regents (OSU)

Date:1 May 2015

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management Observance of regulatory environment related to 1 records management (e.g. ISO 15489, RA 9470) Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

Compliance Yes/No/ Partial

Evidence

Remarks

Partial

The records personnel is familiar with ISO 15489 and RA 9470. OSU's draft manual of operation is in accordance with some of the provisions of RA 9470.

Partial

OSU has a file classification scheme/guide and RDS which is according to NAP GRDS. This is included in the draft manual of operations, awaiting the approval of the President.

Has an official records and archives office / unit approved by NAP and DBM

Yes

OSU is mandated to manage specific records only The creation of OSU was mandated by the law records on Board of Regents (BOR) decisions and (RA9500) and needs no further approval of NAP and issuances of the UP President. Making it a fullDBM. pledge records center/office is one good approach.

4 Appointed qualified records officer and archivist

Yes

OSU has appointed a qualified records officer.

3

5

Constituted a Records Management Improvement Committee

6

Established a comprehensive records management program

Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

No Partial

143

Best practices in records management Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review 8

Has manuals of instructions/operations on records management

Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

Compliance Yes/No/ Partial Partial

Evidence

Remarks

OSU has a draft manual of operations which details the records management procedures of the office.

The manual of operations must be finalized and approved by the President.

The draft manual of operations lists only the responsibilities of the records personnel.

A comprehensive documentation of the responsibilities of each of the staff in OSU is required.

Partial

Partial

Designed and implemented a records system to 10 carry out and support the records management processes of the institution

No

Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Partial

The draft manual of operations briefly describes the A comprehensive guide must be crafted. different processes on records management in OSU.

Partial

OSU has a receiving/releasing unit. It receives and releases all communications coming in and out of the Office of the President (OP) and those addressed to the BOR. It has pigeon hole shelving units to This section of OSU must be reviewed to comply systematize this function. It is supervised by the with the provisions of ISO and RA. executive assistant of OSU. The records officer is not directly involved in the function of this unit.

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer

Has not designed and implemented a records system. This should be a collective effort of all UP units.

144

Best practices in records management 13

Use of logbook or equivalent to record all official records in chronological order

14 Established control system in records creation

Use of retention and classification codes as soon 15 as the records is created / captured

Compliance Yes/No/ Partial Yes

OSU maintains a logbook for all its records.

Remarks OSU also uses UP DTS in records capture and registration.

No

Needs proper documentation. This is yet to be covered by the draft manual of operations.

No

OSU is not keen in observing the retention and disposition schedule as most of its records are vital records. According to the records officer, 90% of their collection are vital records.

16 Established standard in registration of records

Partial

17

Has prescribed file classification system for uniform filing system

Yes

18

Has adequate records storage integrated with the overall records management program

No

Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth

No

Has storage for non-current record integrated 20 with the overall records management program

Evidence

Yes

The logbook system of the office captures the following elements: subject/short description, sender, Needs proper documentation. This is yet covered by and date of receipt. The UP DTS also provides the draft manual of operations. template for capturing metadata of the record. OSU uses a File Classification Guide. It also assigns cross-references and sub-heading to records for easy retrieval. OSU has limited records storage area at present. Steel cabinets, shelves and boxes the common records storage facilities in the office. To address the scanty records storage area of the office, OSU started its digitization project called eOSU. It was observed that the records storage also serves as The office has a records storage room for non-current storage forr other office stuff like clothes, office records. supplies, etc. In order to assure records preservation, records must be kept in appropriate storage area. 145

Best practices in records management Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP 22

Has set standards and criteria to maximize filing equipment and floor space

Compliance Yes/No/ Partial

Evidence

Archival records are transferred to the University Archives and Records Depository (UARD), UP Main Library. The office has not transferred any record to NAP or other government agency.

No

Has no standard/criteria to maximize filing equipment and floor space.

No Records storage facilities are startegically located to prevent unauthorised access. Records storage room is locked and can only be accessed by the records personnel of the office.

Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

Yes

24 Provided rules on how to handle confidential files

No

Has established finding aids in retrieving and accessing records

Yes

OSU has index cards, electronic master file of records with location, and EDMS/Laserfiche to find and access records.

Yes

The office uses the UP DTS and logbook to track active records.

Yes

OSU already digitized the UP Gazette and uploaded in their website. Records which are not found in the website can be requested upon submission of a letterrequest. OSU provides copy of the records with stamp as proof that it was officially released by the office.

25

26 Has tracking system for active records

27 Has an established records loaning system Has rules in the proper turnover of records to successor/NAP Has an established guidelines on records transfer 29 compliant with NAP rules 28

No

Remarks

No

By practice, release of any confidential record must be approved by the President or the BOR. This should be documented. These are not described in the manual of operations. These should be included in the manual. A follow-up system (reminder) must be integrated in the UP DTS to avoid losing track of the records referred to other offices.

Has no established rule. By practice, non-active and archival records are

146

Best practices in records management

Compliance Yes/No/ Partial

30

Developed clear rules in transferring records to archives

31

Separation of records for disposal from those for further retention as suggested by NAP

No

32

Compliant with the General Records Disposition Schedule (GRDS) of NAP

Yes

Uses an approved Retention Disposition Schedule 33 (RDS) by NAP, listing all records which are not found in the GRDS

Partial

Evidence

Remarks

By practice, non-active and archival records are Records aging 10 years up are considered ready to be transferred to University Archives and transferred to the UP Main Library. The records for Records Depository (UARD), UP Main Library. The transfer are placed in a box with proper label. A office uses its own version of transfer list form. transfer list form is prepared as evidence of the transaction.

NAP GRDS is used to the remaining 10% of OSU records.

No

Has no established practice. Almost all records of the office are considered vital records, hence disposition is not practiced.

RDS is not a major concern of the office as most of its records are vital records.

Use of retention code (RDS/GRDS) before the 34 records are filed

No

Not being practiced. Almost all records of the office are considered vital records, hence disposition is not practiced.

35 Has a disaster recovery plan for records

The office has no records disaster recovery plan.

36

Has an approved records inventory and appraisal schedule, at least once a year

No Yes

Conduct periodic examination of records at least 37 once a year to identify valueless records for disposal

No

Almost all records of the office are considered vital records, hence disposition is not practiced. Records are inventoried to identify records that are ready for transfer. Records for transfer are digitized first to keep a copy in the EDMS/Laserfiche.

No

The office has no program for this.

No

Has no records management audit plan.

No

The office has no program for this.

Has records preservation and restoration procedures as consulted with NAP Has recently performed a self-audit / review of 39 records management practices 38

40 Has preservation program for archival records

OSU conducts inventory of records every year.

147

Best practices in records management 41

Has an established system in managing electronic records

Has adequate digital storage for electronic 42 records

Compliance Yes/No/ Partial Partial Yes

Has necessary back-up systems for electronic records

Partial

Records management training is included in the 44 organisation’s Education, Training & Development Plan

Partial

There is provision for the regular review of training needs of the personnel

No

43

45 Has recently sent records personnel to a training 46

Findings:

Yes No Partial

Evidence

Yes

13 20 13

Remarks Needs proper documentation.

Documenting this effort will assure continuity amidst change in administration or change in work force. It OSU records are now 50% electronic. The electronic is recommended to craft a manual for managing its records are managed through the Laserfiche Program. electronic records. The project is called eOSU which is the priority project of the current Secretary of the University. OSU has one external hard disk as back-up system. The office should have at least three back-up units. The office plans to purchase additional external hard disk. Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.

Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.

Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

28% 43% 28%

148

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Diliman

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management

Compliance Yes/No/ Partial

Evidence

Remarks

Partial

It is recommended for UPD-OC to consider UPD-OC acknowledges the following legislations: RA 9470, NAP General Circular No. 1, NAP General international standard as it ensure a comprehensive Circular No. 2, and RA 6713. and globally accepted records management program.

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

Partial

The records officer uses the following tools: records management manuals, RDS, accession authorization, file classification guide, index, records inventory, vocabulary control, documentation on records destruction, vital records inventory, and documentation on in-house digitization program.

Has an official records and archives office / unit approved by NAP and DBM

Partial

UPD-OC operates a records unit. This unit serves as An organic records unit, which is approved by NAP the main records unit in UP Diliman. and DBM, will streamline its operations.

4 Appointed qualified records officer and archivist

Partial

1

3

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

5

Constituted a Records Management Improvement Committee

6

Established a comprehensive records management program

The records officer is not holding a records officer Creation of records officer plantilla item/s may be plantilla item, though his job description is mainly on requested from DBM upon approval of UP records records management. office.

No Partial

According to the records officer, many of the tools are still in the draft stage. The approval of these tools will further strengthen their plan of formalizing their records management program.

UPD-OC has an established program which needs further review to capture all aspects of its records management practices.

149

Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s. Needs review and formalization.

Best practices in records management Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review Has manuals of instructions/operations on records 8 management Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

Designed and implemented a records system to 10 carry out and support the records management processes of the institution Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer 13

Use of logbook or equivalent to record all official records in chronological order

14 Established control system in records creation

Compliance Yes/No/ Partial

Evidence

Remarks

Partial

Has a draft policy.

Needs approval.

Partial

UPD-OC has a draft policy which needs to be translated into a manual.

Needs formalization.

UPD-OC has a documentation of responsibilities of each records personnel and other OC staff which is part of the draft records management policy.

Needs formalization and promulgation.

Partial

The general records capture process is part of the policy. The office uses DTS to capture records.

The process must be elaborated. This should be included in the records management policy and manual of operation of the unit.

Partial

UPD-OC serves as the main receiving and releasing unit in UP Diliman. The records officer is not directly involved in the operation of this unit.

The records officer should supervise this function. This should be reviewed and should be documented comprehensively for any future development.

Partial

No

Yes

Partial

The UPD-OC staff who is in-charge of the receiving/releasing area maintains a DTS which is more efficient than the logbook system.

Designing and implementation of records system must be a collective effort of all UPD units. An efficient records system must include all business processes of the campus.

UPD-OC also uses an in-house DTS and other computer-aided system in records registration.

There is a established system but some areas need to be documented. All issuances of the Chancellor are Needs review and inclusion in the records controlled through the use of letter-number codes and management policy and manual of operation of the policy on formats. The executive assistants and the unit. Chancellor review all outgoing communications prior to release.

150

Best practices in records management 15

Use of retention and classification codes as soon as the records is created / captured

16 Established standard in registration of records Has prescribed file classification system for 17 uniform filing system 18

Has adequate records storage integrated with the overall records management program

Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth Has storage for non-current record integrated with 20 the overall records management program Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP 22

Has set standards and criteria to maximize filing equipment and floor space

Compliance Yes/No/ Partial Partial Partial Partial Yes Partial Yes Partial Partial

Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

Partial

24 Provided rules on how to handle confidential files

Partial

Has established finding aids in retrieving and accessing records

Partial

25

Evidence The records officer adds notes to records upon capture. This is not documented.

The office uses logbooks, DTS and other computeraided system in records registration. This must be formally documented.

Remarks Needs documentation and inclusion in the records management policy and manual of operation of the unit to standardize the process.

Needs formal documentation and for inclusion in the records management policy and manual of operation of the unit.

UPD-OC has a guide in filing records. This needs to Needs crafting of a comprehensive filing manual. be converted into a comprehensive filing manual for Vocabulary controls, index and shorthand codes all records of the office. should be part of this comprehensive manual.

With the newly renovated office of UPD-OC, records storage was given enough space.

According to the records officer, they are only 60% ready. With the newly renovated office of UPD-OC, records storage was given enough space.

RDS must be strictly implemented to ensure adequate records storage.

Needs documentation and formalization.

Needs review and formalization for inclusion in the UPD-OC has a draft standard and plan in maximizing records management policy and manual of operation its filing equipment and floor space. of the unit. Guidelines in records access and safeguard should be The storage areas are strategically located in safe crafted and formalized. For inclusion in the records place. management policy and manual of operation of the unit. The executive assistant and the Chancellor give the To protect the records and the UPD-OC, the rule in authority to release a confidential records as handling confidential records must be established mentioned in the draft records management policy of (part of the guidelines in records access and the unit. safeguard). The in-house DTS program of UPD-OC serves as the most efficient way in finding a record. The software Needs review, upgrading and formal documentation. These practices must be included in the records needs upgrading to add more features. management policy and manual of operation of the 151

Best practices in records management

Compliance Yes/No/ Partial

26 Has tracking system for active records

Partial

27 Has an established records loaning system

Partial

Has rules in the proper turnover of records to successor/NAP Has an established guidelines on records transfer 29 compliant with NAP rules 28

30

Developed clear rules in transferring records to archives

Separation of records for disposal from those for further retention as suggested by NAP Compliant with the General Records Disposition 32 Schedule (GRDS) of NAP 31

Uses an approved Retention Disposition Schedule 33 (RDS) by NAP, listing all records which are not found in the GRDS

34

Use of retention code (RDS/GRDS) before the records are filed

35 Has a disaster recovery plan for records

36

Has an approved records inventory and appraisal schedule, at least once a year

Evidence Inventory of records, computer-aided program and compiled guides are also used by the office.

Has no established rule. Archival records are transferred to the University Archives and Records Depository (UARD), UP Main Library.

No

No Yes Partial

management policy and manual of operation of the unit.

The office requires borrower's slip and receipt slips, Needs formal documentation and inclusion in the as well as letter-request for the Chancellor's approval. records management policy and manual of operation No detailed documentation is available. of the unit.

No

Partial

Remarks

Has a guideline but needs formalization. The office uses its own version of a transfer list form.

The crafted RDS of UPD-OC is compliant with NAP GRDS. Has an RDS developed by the records officer. But still needs approval of the Chancellor and NAP.

No

Needs formal documentation and inclusion in the records management policy and manual of operation of the unit. Archival records are transferred to the University Archives and Records Depository (UARD), UP Main Library.

Has no established practice.

Needs formalization and approval of the Chancellor and NAP. Also for inclusion in the records management policy and manual of operations of the unit.

Not being practiced.

No

The office has no records disaster recovery plan.

Yes

Document the process and secure approval of the Chancellor. The inventory and appraisal must also be submitted to NAP. This is for inclusion in the records management policy and manual of operation of the unit.

The records officer is conducting inventory and appraisal every year. This is the practice but needs approval to institutionalize.

152

Best practices in records management Conduct periodic examination of records at least 37 once a year to identify valueless records for disposal 38

Has records preservation and restoration procedures as consulted with NAP

Compliance Yes/No/ Partial Yes Partial

Has recently performed a self-audit / review of records management practices

No

40 Has preservation program for archival records

No

39

41

Has an established system in managing electronic records

Partial

Has necessary back-up systems for electronic records

Partial

42 Has adequate digital storage for electronic records 43

Yes

Records management training is included in the 44 organisation’s Education, Training & Development Plan

Partial

45 Has recently sent records personnel to a training

Yes

46

No

There is provision for the regular review of training needs of personnel in-charge of records Findings: Yes No Partial

8 10 28

Evidence The records officer conduct a periodic examination of records every year.

Remarks Must be included in the records management policy and manual of operations.

Has policies and procedures but did not consult NAP. Needs review of the pratice and documentation. Has no records management audit plan.

Has no program for this. The records unit of UPDOC perform some archival task. The records officer should consult an archives officers to draft a program for the office.

UPD-OC has already developed a system for its electronic records. Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.

Needs further development and formal documentation. For inclusion in the comprehensive records management program of UPD-OC.

Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program. Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

17% 22% 61%

153

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Los Banos

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management

Evidence

Remarks

No

The records personnel is not familiar with any legislation on records management.

No

Almost all practices of the office are not documented. The records management is dependent on the pratice of the AO and the records personnel.

Has an official records and archives office / unit approved by NAP and DBM

Partial

UPLB has a records office (RMO) but it fails to serve as the central records office of the campus. As shared by UPLB-RMO, many offices fail to give them copies of their vital records, particularly the Office of the Chancellor which is the heart of all operations in the campus.

4 Appointed qualified records officer and archivist

No

1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Compliance Yes/No/ Partial

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

3

Constituted a Records Management Improvement 5 Committee 6

Established a comprehensive records management program

Records management is an additional task to the staff of the office.

No

Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

No

Has no established records management program.

154

Best practices in records management Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review 8

Has manuals of instructions/operations on records management

Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records Designed and implemented a records system to 10 carry out and support the records management processes of the institution

Compliance Yes/No/ Partial

Evidence

Remarks

No

Has no records management policy.

No

Has no compiled manual of instructions/operations.

No

Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.

No

Designing and implementation of records system must be a collective effort of all UPLB units. An efficient records system must include all business processes of the campus.

Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Partial

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer

This is just a basic system which do not address the complexity of the records that the office manages. UPLB has an in-house DTS which is used to capture, Aside from this, UPLB-OC also uses the UP DTS for register and track (with barcodes) the records of all records coming from and going to the UP System. incoming and outgoing communications of UPLB. UPLB OC is using two different DTS in managing its records.

Partial

This should be the function of UPLB-RMO which is Needs review. not maximized by the campus.

13

Use of logbook or equivalent to record all official records in chronological order

14 Established control system in records creation

Yes

Partial

The records personnel maintains two DTS, one for UPLB records, the other one is for records going to and coming from UP Systsem. All memos, AOs and outgoing issuances of the Chancellor are controlled through letter/number codes. This control codes are listed in logbooks. These issuances are reviewed by the AO and the Chancellor prior to release.

155

The use of these systems should be documented. It is ideal to have only one DTS in place.

This system must be properly documented.

Best practices in records management Use of retention and classification codes as soon 15 as the records is created / captured 16 Established standard in registration of records Has prescribed file classification system for 17 uniform filing system 18

Has adequate records storage integrated with the overall records management program

Compliance Yes/No/ Partial

Evidence

No

Partial

The records personnel maintains two DTS, one for UPLB records, the other one is for records going to and coming from UP System.

No

No

Has storage for non-current record integrated with 20 the overall records management program

Yes

Records for filing are compiled on the side table of the records personnel for filing within the day. No codes or notes is assigned to the records upon receipt or filing. The use of these systems should be documented. It is ideal to have only one DTS in palce.

Classification system is not documented. Thus, the old practice is maintained or developed by the current records personnel. Drastic change cannot be implemented due to lack of supporting documents. Active records are filed in the steel cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records.

No

Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth

Remarks

Non-active records are filed in the storage room which is also almost full. Records retention and disposition must be strictly observed to address this issue.

As per records personnel, their storage room is soon to be renovated. The new storage room will be located near the office.

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP

No

The storage room cannot be considered as miniarchives. UPLB-OC has not planned any transfer of non-active records to NAP or any agency. If ever UPLB-OC should transfer any record, it should be closely coordinated with the RMO.

Has set standards and criteria to maximize filing equipment and floor space

No

Has no standard/criteria to maximize filing equipment and floor space.

22

156

Best practices in records management Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

Compliance Yes/No/ Partial Yes

24 Provided rules on how to handle confidential files

No

Has established finding aids in retrieving and accessing records

Partial

25

26 Has tracking system for active records

27 Has an established records loaning system

28

Has rules in the proper turnover of records to successor/NAP

Partial

Evidence

Remarks

Steel cabinets, boxes and the storage area are not accessible to any non-UPLB-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel has access to these facilities. By practice, release of any confidential record must be approved by the Chancellor. To protect the records and the UPLB-OC, rule in handling confidential records must be in place. The DTS is the most efficient finding aid of the office. If not found in the DTS, the records personnel rely on her knowledge of the files. Alternative finding aids should be devised.

The records personnel also shared that records from earlier years to 1998 are difficult to manage. There were no system used by the office during that time, negatively affecting the current management of records. Needs documentation.

No

The records personnel shared that most of the units call her to request for records. As a practice, she provide the requestor a photocopy of the record to avoid record loss. Establishment of a loaning system will prevent lost records, and to save on papers, too.

No

No established rules.

29

Has an established guidelines on records transfer compliant with NAP rules

No

By practice, non-record materials, like publications, magazines, etc., are sent to the library or RMO.

30

Developed clear rules in transferring records to archives

No

Due to lack of time, records personnel barely review the records for possible disposition.

157

Best practices in records management 31

Separation of records for disposal from those for further retention as suggested by NAP

32

Compliant with the General Records Disposition Schedule (GRDS) of NAP

Compliance Yes/No/ Partial

Evidence

Remarks As shared by the records personnel, they are not disposing any record yet.

No No

Uses an approved Retention Disposition Schedule 33 (RDS) by NAP, listing all records which are not found in the GRDS

No

The records personnel conduct disposition upon instruction of the administrative officer. This practice is solely dependent on the knowledge of the personnel about the records.

34

No

Retention codes are not identified before filing.

No

The office has no records disaster recovery plan.

Use of retention code (RDS/GRDS) before the records are filed

35 Has a disaster recovery plan for records 36

Has an approved records inventory and appraisal schedule, at least once a year

Conduct periodic examination of records at least 37 once a year to identify valueless records for disposal Has records preservation and restoration 38 procedures as consulted with NAP Has recently performed a self-audit / review of 39 records management practices 40 Has preservation program for archival records Has an established system in managing electronic 41 records

No

Due to lack of time, records personnel barely review the records for possible disposition.

No

The office has no program for this.

No

Has no records management audit plan.

No No

43

No

Records management training is included in the 44 organisation’s Education, Training & Development Plan

Has no program for this.

No

42 Has adequate digital storage for electronic records Has necessary back-up systems for electronic records

The office has not done any records ineventory and appraisal. This pratice should be initiated by the RMO.

No

With the implementation of eUP, the office is now starting to learn on and work with electronic records.

The records personnel shared that she is yet to attend any records management training, even basic records management trainings.

No

158

Compliance Yes/No/ Partial

Best practices in records management 45 Has recently sent records personnel to a training

No

There is provision for the regular review of training needs of personnel in-charge of records

No

46

Findings:

Yes No Partial

3 36 7

Evidence

Remarks

management trainings.

Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program. Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

7% 78% 15%

159

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Los Banos RMO

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management 1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

Compliance Yes/No/ Partial

Partial

Yes

Evidence UPLB RMO acknowledges RA 9470 in its records management.

Yes

UPLB has an established records office called Records Management Office.

4 Appointed qualified records officer and archivist

Yes

UPLB RMO has an appointed records officer. Most of its staff are holding records officer positions.

Constituted a Records Management Improvement 5 Committee

Consideration of international standards can ensure a comprehensive and globally accepted records management program.

The records officer uses the following tools: records classification scheme, index, records inventory and appraisal, GRDS, agency's RDS, retention codes, file classification guide, requisition and charge-out procedures, records management manual, and number/code allocation.

Has an official records and archives office / unit approved by NAP and DBM

3

Remarks

The office fails to fullfil its mandates because many office don't include them in the loop in managing their records. As shared by the records officer, many offices fail to give them copies of their vital records, particularly the Office of the Chancellor which is the heart of all operations in the campus.

Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

No

160

Best practices in records management Established a comprehensive records management program Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review Has manuals of instructions/operations on records 8 management Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records 6

Designed and implemented a records system to 10 carry out and support the records management processes of the institution Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer

13

Use of logbook or equivalent to record all official records in chronological order

Compliance Yes/No/ Partial

Evidence

Partial

UPLB has no comprehensive records management program, but UPLB RMO has an approved manual of operations (2004) which can be a good starting point for the crafting of a records management program for the entire campus.

Partial

Yes Yes

The responsibilities of each records personnel in UPLB RMO are documented in the office's Manual of Operations and Procedures.

No

Yes

Partial

Yes

Remarks

Through the use of an Automated Document Management System (ADMS), the office is able to include records properties and descriptions upon capture.

Designing and implementation of records system must be a collective effort of all UPLB units. An efficient records system must include all business processes of the campus.

UPLB RMO should be the central receiving and releasing unit of the campus. But UPLB-OC has its own receiving/releasing office. According to UPLB RMO, not all UPLB units receive and release their Needs review of this function. records through them. They provide messengerial services for records coursed through them. Their mailing services require availing units to fund operations, this service is not part of RMO budget. UPLB RMO uses logbooks, ADMS and computeraided system to register records.

161

Best practices in records management 14 Established control system in records creation 15

Use of retention and classification codes as soon as the records is created / captured

Compliance Yes/No/ Partial

Partial Partial

16 Established standard in registration of records

Yes

Has prescribed file classification system for uniform filing system

Yes

17

Has adequate records storage integrated with the overall records management program Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth Has storage for non-current record integrated with 20 the overall records management program 18

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP Has set standards and criteria to maximize filing equipment and floor space Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

22

No

Evidence This function should be closely coordinated with all units of UPLB, especially the Office of the Chancellor. The records officer adds notes to records upon capture. This is not documented. UPLB RMO uses logbooks, ADMS and computeraided system to register records. This is included in the manual. UPLB RMO has a well-estabslihed filing guide / classification system which is reflected in the records management manual.

No Yes Partial Partial

UPLB RMO manages almost all types of records in the campus (administrative, academic, human resources). Non-active/archival records of these types are managed in their records areas. Having 4 records areas, UPLB RMO has already acquired standards in maximizing filing space.

Yes

The storage areas are strategically located in a safe places.

24 Provided rules on how to handle confidential files

Partial

The Records Officer gives the authority to release a confidential record.

Has established finding aids in retrieving and accessing records

Yes

25

UPLB RMO uses the following finding/tracking aids: index cards, inventory of records, compiled guides, ADMS, and knowledge of the files. These are all 162

Remarks Needs review and formalization, for inclusion in the records management manual.

Needs documentation and for inclusion in the records management manual.

The records personnel admitted that their records storage is now limited. They currently have four records areas. They have a pending request for another records area to address the issue.

No plans yet of transferring records to NAP or any government agency.

Needs review and documentation for inclusion in the records management manual. Records access of non-staff members are detailed in the manual.

To protect the records and the UPLB RMO, the rule in handling confidential records must be in place and for inclusion in the records management manual.

Best practices in records management

Compliance Yes/No/ Partial

26 Has tracking system for active records

Yes

27 Has an established records loaning system

Yes

28

Has rules in the proper turnover of records to successor/NAP

No

29

Has an established guidelines on records transfer compliant with NAP rules

Yes

Developed clear rules in transferring records to archives Separation of records for disposal from those for 31 further retention as suggested by NAP Compliant with the General Records Disposition 32 Schedule (GRDS) of NAP Uses an approved Retention Disposition Schedule 33 (RDS) by NAP, listing all records which are not found in the GRDS 30

34

Use of retention code (RDS/GRDS) before the records are filed

35 Has a disaster recovery plan for records Has an approved records inventory and appraisal 36 schedule, at least once a year Conduct periodic examination of records at least 37 once a year to identify valueless records for disposal Has records preservation and restoration 38 procedures as consulted with NAP

Yes

Evidence ADMS, and knowledge of the files. These are all detailed in the manual, procedures are also clearly stated. The unit uses borrower's slip in loaning a records. The maximum period set for loaned records is 1 day. This is detailed in the manual, procedures are also clearly stated.

Transfers are conducted from the main UPLB-RMO office to one of its records centers. This is detailed in the manual, procedures are also clearly stated.

No The RRDS of UPLB is compliant with NAP GRDS.

Yes

Has an RRDS developed by the unit and with approval of the Chancellor.

Yes

Before filing, UPLB-RMO assign not only RDS to the records but also cross-references and indexes.

Yes Yes

Has no established rule.

Needs formal documentation and for inclusion in the manual.

Has no established practice.

Yes

No

Remarks

The records officer is conducting inventory and appraisal every year.

The office has no records disaster recovery plan.

The records officer conduct a periodic examination of records every year.

No

Has no established procedure.

163

Best practices in records management 39

Has recently performed a self-audit / review of records management practices

40 Has preservation program for archival records 41

Has an established system in managing electronic records

Compliance Yes/No/ Partial

No

Partial Yes

43

Yes Partial Yes No 24 11 11

Remarks Has no records management audit plan.

Has no program for this. The records unit of UPLBRMO perform some archival task. The records officer can consider consulting with archives officers to draft a program for the office.

No

42 Has adequate digital storage for electronic records

Has necessary back-up systems for electronic records Records management training is included in the 44 organisation’s Education, Training & Development Plan 45 Has recently sent records personnel to a training There is provision for the regular review of 46 training needs of personnel in-charge of records Findings: Yes No Partial

Evidence

UPLB-RMO has started managing electronic records through the ADMS. This section is manned by It would be helpful if the staff members in-charge of contractual staff. Funding for the project is requested the project are in permanent positions to ensure the annually through submission of an accomplishment continuity of the program. report. The system and the process are documented. Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of their plan to improve her skills on records

Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.

Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

52% 24% 24%

164

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Manila

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management

Evidence

Remarks

No

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

The records personnel is not familiar with any legislation on records management.

No

Almost all practices of the office are not documented. The records management is dependent on the pratice of the AO and of the records personnel.

Has an official records and archives office / unit approved by NAP and DBM

No

There are plans to establish a records office in UP Manila. To start it off, a central receiving/releasing unit for all UP Manila communications called Central Contact Point (CPC) was established 2012.

1

3

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Compliance Yes/No/ Partial

4 Appointed qualified records officer and archivist 5

Constituted a Records Management Improvement Committee

Established a comprehensive records management program Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review 6

Records management is an additional task to the staff of the office. The eventual creation of the records office may secure records officer/personnel plantilla items. Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

No No No

Has no established records management program.

No

Has no records management policy.

165

Best practices in records management 8

Has manuals of instructions/operations on records management

Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

Designed and implemented a records system to 10 carry out and support the records management processes of the institution

Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer Use of logbook or equivalent to record all official 13 records in chronological order 14 Established control system in records creation

Compliance Yes/No/ Partial

Evidence

Remarks

No

Though the chancellors of UP Manila issued various memoranda on records management implementation, there is no available manual for use of the records personnel.

No

Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.

No

Designing and implementation of records system must be a collective effort of all UPM units. An efficient records system must include all business processes of the campus. The implementation of a centralized receiving/releasing unit is just one aspect of records management. UPM should address all aspects of records management to ensure smooth business processes.

Partial

UP Manila has a Document Assessment and Tracking System which is used to capture, register and track (with barcodes) the records of almost all incoming and outgoing communications in UP Manila.

Yes

The UP Manila has a central receiving/releasing unit called CPC supervised by a records officer.

Yes

The records personnel maintains logbooks and DTS.

Partial

This is just a basic system which do not address the complexity of the records that the office manages. This system must be properly documented.

All memos, AOs and outgoing issuances of the Chancellor are controlled through number/letter This system must be properly documented. codes. These are reviewed by the Chancellor and the AO prior to release.

166

Best practices in records management 15

Use of retention and classification codes as soon as the records is created / captured

16 Established standard in registration of records

Has prescribed file classification system for 17 uniform filing system Has adequate records storage integrated with the overall records management program Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth 18

20

Has storage for non-current record integrated with the overall records management program

Compliance Yes/No/ Partial No

Partial

No No Yes No

22

No

Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

UP Manila has a Document Assessment and Tracking System which is used to capture, register and track (with barcodes) the records of almost all incoming and outgoing communications in UP Manila.

No

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP Has set standards and criteria to maximize filing equipment and floor space

Evidence

Yes

Non-active records are filed in the storage room which is almost full.

Steel cabinets, boxes and the storage area are not accessible to any non-UPM-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel has access to these.

167

Remarks Records for filing are compiled on a side table of the records personnel for filing during free-time. No codes or notes is assigned to the records upon receipt or filing. This is just a basic system which do not address the complexity of the records that the office manages. This system must be properly documented. A manual should be promulagated to guide all records personnel in the campus. Classification system is not documented. Thus, the old practice is maintained or developed by the current records personnel. Drastic change cannot be implemented due to lack of supporting documents.

Active records are filed in the steel cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records. Records retention and disposition must be strictly observed to address this issue.

The storage room cannot be considered as miniarchives. UPM-OC has no plans yet to transfer any of its non-active records to NAP or any agency. Has no standard/criteria to maximize filing equipment and floor space.

Best practices in records management

Compliance Yes/No/ Partial

24 Provided rules on how to handle confidential files

No

Has established finding aids in retrieving and accessing records

Partial

25

26 Has tracking system for active records

27 Has an established records loaning system

28 29 30 31 32 33 34

35

Has rules in the proper turnover of records to successor/NAP Has an established guidelines on records transfer compliant with NAP rules Developed clear rules in transferring records to archives Separation of records for disposal from those for further retention as suggested by NAP Compliant with the General Records Disposition Schedule (GRDS) of NAP Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS Use of retention code (RDS/GRDS) before the records are filed Has a disaster recovery plan for records

Partial

Evidence

The DTS is the most efficient finding aids of the office. If not found in the DTS, the records personnel rely on his knowledge of the files.

UP Manila has a Document Assessment and Tracking System which is used to capture, register and track (with barcodes) the records of almost all incoming and outgoing communications in UP Manila.

Remarks By practice, release of any confidential record must be approved by the Chancellor. To protect the records and UPM-OC, the rules in handling confidential records must be in place. Aside from DTS, other finding aids should be devised. Needs documentation. Needs documentation.

No

The records personnel shared that most of the units call him to request for records. As a practice, he provide the requestor a photocopy of the record to avoid record loss. Establishment of a loaning system will prevent lost records, and to save on papers too.

No

No established rules.

No

By practice, non-record materials, like publications, magazines, etc., are sent to the library.

No

Due to lack of time, records personnel barely review the records for possible disposition.

No

The records personnel conduct disposition upon instruction ftom chief administrative officer. This practice is solely dependent on the knowledge of the personnel on the records.

No No No

Retention codes are not identified before filing.

No

The office has no records disaster recovery plan. 168

Compliance Yes/No/ Partial

Best practices in records management 36

Has an approved records inventory and appraisal schedule, at least once a year

Conduct periodic examination of records at least 37 once a year to identify valueless records for disposal Has records preservation and restoration 38 procedures as consulted with NAP Has recently performed a self-audit / review of 39 records management practices 40 Has preservation program for archival records Has an established system in managing electronic 41 records

No

Due to lack of time, records personnel barely review the records for possible disposition.

No

The office has no program for this.

No

Has no records management audit plan.

No

43

No

Records management training is included in the 44 organisation’s Education, Training & Development Plan

No

45 Has recently sent records personnel to a training

No

There is provision for the regular review of training needs of personnel in-charge of records

No

Findings:

Yes No Partial

Has no program for this.

No No

46

Remarks Since the records personnel just recently handled the records management in UPM-OC, 2 years ago, he has not inventoried the records of the office. He is also unaware of any effort in the past years.

No

42 Has adequate digital storage for electronic records Has necessary back-up systems for electronic records

Evidence

4 37 5

With the implementation of eUP, the office is now starting to learn on and work with electronic records. The records personnel shared that he is yet to attend any records management training, even basic records management trainings. Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.

Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

9% 80% 11%

169

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Visayas

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management 1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

Compliance Yes/No/ Partial

Evidence

Remarks The records personnel is not familiar with any legislation on records management.

No

The records personnel shared that she uses a records classification scheme. But almost all practices of the office are not documented. The records management is dependent on the pratice of the AO and of the records personnel.

No

Has an official records and archives office / unit 3 approved by NAP and DBM

No

The UPV-OC serves as the main records office in the campus. There should be an organic records office to comply with RA 9470 and ISO 15489.

4 Appointed qualified records officer and archivist

No

Records management is an additional task to the staff of the office.

No

Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

5 6

Constituted a Records Management Improvement Committee Established a comprehensive records management program

No

Has no established records management program.

170

Best practices in records management Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review Has manuals of instructions/operations on records 8 management Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

Designed and implemented a records system to 10 carry out and support the records management processes of the institution

Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer Use of logbook or equivalent to record all official 13 records in chronological order 14 Established control system in records creation Use of retention and classification codes as soon 15 as the records is created / captured

Compliance Yes/No/ Partial

Evidence

Remarks

No

Has no records management policy.

No

Has no compiled manual of instructions/operations.

No

Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.

No

Designing and implementation of records system must be a collective effort of all UPV units. An efficient records system must include all business processes of the campus.

Partial Partial Yes Partial

UPV-OC uses logbook to capture records. This system is limited to processing of title, author/recipient, and date of receipt/release, and action taken of the records. UPV-OC serves as the main receiving/releasing office in the campus as it process almost all types of records. There is no records officer in the office.

This is just a basic system which do not address the complexity of the records that the office manages. This system must be properly documented. The system needs review and proper documented.

UPV-OC uses logbook to capture records.

All memos, AOs and outgoing issuances of the Chancellor are controlled through letter/number codes. These issuances are reviewed by the Chancellor and the AO prior to release.

No

171

This system must be properly documented. Records for filing are compiled on side table of the records personnel for filing during free-time. No codes or notes is assigned to the records upon receipt or filing.

Best practices in records management 16 Established standard in registration of records Has prescribed file classification system for 17 uniform filing system Has adequate records storage integrated with the overall records management program Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth 18

20

Has storage for non-current record integrated with the overall records management program

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP Has set standards and criteria to maximize filing 22 equipment and floor space Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

Compliance Yes/No/ Partial Partial

UPV-OC uses logbook to capture records. This system is limited to processing of title, author/recipient, and date of receipt/release, and action taken of the records.

No No No Yes

Non-active records are filed in the storage room which is also almost full.

No No Partial

24 Provided rules on how to handle confidential files

No

Has established finding aids in retrieving and accessing records

No

25

Evidence

Steel cabinets, boxes and the storage area are not accessible to any non-UPV-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel has access to these.

172

Remarks This is just a basic system which do not address the complexity of the records that the office manages. This system must be properly documented. According to the records personnel, she uses a classification scheme in managing records but not documented. Thus, further enhancement cannot be implemented due to lack of supporting documents.

Active records are filed in the steel/wooden cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records. Records retention and disposition must be strictly observed to address this issue.

The storage room cannot be considered as miniarchives. UPV-OC has not planned any transfer of non-active records to NAP or any agency. Has no standard/criteria to maximize filing equipment and floor space.

By practice, release of any confidential record must be approved by the Chancellor. To protect the records and the UPV-OC, the rule in handling confidential records must be in place. The records personnel rely on her knowledge of the files. Finding aid should be devised for use of the office.

Best practices in records management 26 Has tracking system for active records

27 Has an established records loaning system Has rules in the proper turnover of records to successor/NAP Has an established guidelines on records transfer 29 compliant with NAP rules 28

Compliance Yes/No/ Partial Partial

Evidence The office rely on the logbook to track records. The office may consider devising new system for efficient tracking.

No

Remarks

The records personnel shared that most of the units call her to request for records. As a practice, she mostly provide a photocopy to prevent record loss. These requests are all listed in a logbook. Establishment of a loaning system will prevent lost records, and to save on papers too.

No

No established rules.

No

No established rules.

30

Developed clear rules in transferring records to archives

No

No established rules.

31

Separation of records for disposal from those for further retention as suggested by NAP

No

No established rules.

32 33 34

35

36 37 38

Compliant with the General Records Disposition Schedule (GRDS) of NAP Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS Use of retention code (RDS/GRDS) before the records are filed Has a disaster recovery plan for records Has an approved records inventory and appraisal schedule, at least once a year Conduct periodic examination of records at least once a year to identify valueless records for disposal Has records preservation and restoration procedures as consulted with NAP

The records personnel conduct disposition upon instruction from the administrative officer or the Chancellor, or as the need arises. This practice is solely dependent on the knowledge of the personnel on the records.

No No No

Retention codes are not identified before filing.

No

The office has no records disaster recovery plan. The office has not done any records ineventory and appraisal.

No No

Due to lack of time, records personnel barely review the records for possible disposition.

No

The office has no program for this.

173

Best practices in records management Has recently performed a self-audit / review of records management practices 40 Has preservation program for archival records Has an established system in managing electronic 41 records 39

Compliance Yes/No/ Partial

Evidence

No

Remarks Has no records management audit plan.

No

Has no program for this.

42 Has adequate digital storage for electronic records

No

43

No

As per records personnel, their office is not yet ready for electronic records.

Has necessary back-up systems for electronic records

No

Records management training is included in the 44 organisation’s Education, Training & Development Plan

No

45 Has recently sent records personnel to a training

No

There is provision for the regular review of training needs of personnel in-charge of records

No

46

Findings:

Yes No Partial

2 38 6

The records personnel shared that he is yet to attend any records management training, even basic records management trainings. Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.

Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

4% 83% 13%

174

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Open University

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management 1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Compliance Yes/No/ Partial

Partial

Has an official records and archives office / unit 3 approved by NAP and DBM

No

4 Appointed qualified records officer and archivist

No

Constituted a Records Management Improvement Committee

Established a comprehensive records management program Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review

6

Remarks The records officer is familiar with RA 9470 but the provisions are not implemented in their records management practices.

No

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

5

Evidence

UPOU-OC is using a file classification guide.

This is just a listing of all the folder/cabinet drawers the office has. No other tool is used. UPOU has no records office. Each office manages its own records. There is a plan to establish a records center in UPOU but because of the dearth in plantilla items, this plan is kept in the pipeline. Records management is an additional task to the staff of the office. Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

No No

Has no established records management program.

No

Has no records management policy.

175

Best practices in records management Has manuals of instructions/operations on records management Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

8

Designed and implemented a records system to 10 carry out and support the records management processes of the institution

Compliance Yes/No/ Partial

Has no compiled manual of instructions/operations.

No

Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.

No

Designing and implementation of records system must be a collective effort of all UPOU units. An efficient records system must include all business processes of the campus.

Partial

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer

Partial

Use of logbook or equivalent to record all official records in chronological order

14 Established control system in records creation

15

Use of retention and classification codes as soon as the records is created / captured

16 Established standard in registration of records

Remarks

No

Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

13

Evidence

Yes Partial

Partial

Partial

UPOU-OC uses logbook and UP DTS to capture/register/track records. This is the general practice that needs to be reviewed.

UPOU-OC serves as the main receiving/releasing office in the campus as it process almost all types of records. There is no records officer in the office. The main messengerial function within the campus is assigned to the HRDO. UPOU-OC uses logbook and UP DTS to capture/register/track records.

This should be reviewed and should be documented comprehensively for any future development. This should be reviewed and should be documented comprehensively for any future development. This should be reviewed and should be documented comprehensively for any future development.

All memos, AOs and outgoing issuances of the Chancellor are controlled through letter/number This system must be properly documented. codes. These are reviewed by the Chancellor and the AO prior to release. The records officer/AO gives intructions to the records personnel (through written notes) on the This should be reviewed and should be documented classification, index, and retention for few select comprehensively for any future development. records of the office. This is not performed for all the records. UPOU-OC uses logbook and UP DTS to capture/register/track records. 176

This should be reviewed and should be documented comprehensively for any future development.

Best practices in records management

Compliance Yes/No/ Partial

17

Has prescribed file classification system for uniform filing system

18

Has adequate records storage integrated with the overall records management program

No

Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth

No

20

Has storage for non-current record integrated with the overall records management program

Yes

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP

No

22

No

Has set standards and criteria to maximize filing equipment and floor space

Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

Partial

Partial

24 Provided rules on how to handle confidential files

No

Has established finding aids in retrieving and accessing records

Partial

25

26 Has tracking system for active records

Partial

Evidence UPOU-OC is using a file classification guide.

Remarks This is just a listing of all the folder/cabinet drawers the office has. A comprehensive classification system should be crafted.

Active records are filed in the steel/wooden cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records. But UPOU has plans for new building which can accommodate a new records storage. Non-active records are filed in the storage room which is also almost full.

Records retention and disposition must be strictly observed to address this issue. The storage room cannot be considered as miniarchives. UPOU-OC has not planned any transfer of non-active records to NAP or any agency.

Steel cabinets, boxes and the storage area are not accessible to any non-UPOU-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel has access to these.

UPOU-OC uses logbook and UP DTS to capture/register/track records.

177

Has no standard/criteria to maximize filing equipment and floor space.

By practice, release of any confidential record must be approved by the Chancellor. To protect the records and the UPOU-OC, the rule in handling confidential records must be in place.

If not found in logbook and DTS, the records personnel rely on her knowledge of the files. Other finding aid should be devised for use of the office. This should be reviewed and should be documented comprehensively for any future development.

Best practices in records management

27 Has an established records loaning system

28

Has rules in the proper turnover of records to successor/NAP

Compliance Yes/No/ Partial

Evidence

Remarks

No

The records personnel shared that most of the units call her to request for records. As a practice, she mostly provide a photocopy to prevent record loss. These requests are all listed in a logbook. The establishment of a loaning system will prevent lost records, and to save on papers too.

No

No established rules.

29

Has an established guidelines on records transfer compliant with NAP rules

No

By practice, non-record materials, like publications, magazines, etc., are sent to the library.

30

Developed clear rules in transferring records to archives

No

Due to lack of time, records personnel barely review the records for possible disposition.

31 32 33 34 35

36 37

38

Separation of records for disposal from those for further retention as suggested by NAP Compliant with the General Records Disposition Schedule (GRDS) of NAP Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS Use of retention code (RDS/GRDS) before the records are filed Has a disaster recovery plan for records Has an approved records inventory and appraisal schedule, at least once a year Conduct periodic examination of records at least once a year to identify valueless records for disposal Has records preservation and restoration procedures as consulted with NAP

As shared by the records personnel, they are not yet disposing any record.

No No No

As shared by the records personnel, they are not yet disposing any record. They plan to consult the GRDS of NAP as soon as a disposal schedule is up.

No

No retention code is used.

No

The office has no records disaster recovery plan. The office has not done any records ineventory and appraisal. As shared by the records personnel, they are not yet disposing any record, and has no plan at the moment to dispose any record.

No

No No

The office has no program for this.

178

Best practices in records management 39 40 41 42 43

Has recently performed a self-audit / review of records management practices Has preservation program for archival records Has an established system in managing electronic records Has adequate digital storage for electronic records Has necessary back-up systems for electronic records

Records management training is included in the 44 organisation’s Education, Training & Development Plan

Compliance Yes/No/ Partial No

Has no program for this.

No

The office manages 20% electronic records. The records personnel confirmed that this percentage may increase soon. A manual on e-records management must be crafted.

Partial No Partial Yes

46

No 3 31 12

Remarks Has no records management audit plan.

No

45 Has recently sent records personnel to a training

There is provision for the regular review of training needs of personnel in-charge of records Findings: Yes No Partial

Evidence

Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.

Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program. Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

7% 67% 26%

179

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Mindanao

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management

1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code) Has an official records and archives office / unit 3 approved by NAP and DBM

4 Appointed qualified records officer and archivist 5

6

Constituted a Records Management Improvement Committee

Established a comprehensive records management program

Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review

Compliance Yes/No/ Partial

Evidence

The records personnel are familiar with ISO 15489 and RA 9470. With the creation of a records management team (2014-2016), the unit is now on its way to complying with relevant regulations of records mangement.

No

The records personnel have records management tools on file, which was from a previous seminar/training, but barely consult it.

No No No Partial No

Remarks

UP Mindanao constituted a records management team in 2014. The appointment of the committee members are only up to 2016.

No

180

UP Mindanao has no official records office at the moment, but has plans of establishing one. Records management is an additional task to the staff of the office. Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s. The office has no established records management program yet. The records management team 20142016 is expected to come up with a records management/archiving system and manual for the entire campus.

Best practices in records management

8

Has manuals of instructions/operations on records management

Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

Designed and implemented a records system to 10 carry out and support the records management processes of the institution Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Compliance Yes/No/ Partial

Evidence

Remarks

No

The office has no records management manual yet. The records management team 2014-2016 is expected to come up with a records management/archiving system and manual for the entire campus.

No

Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.

No

Designing and implementation of records system must be a collective effort of all UPMin units. An efficient records system must include all business processes of the campus.

Partial

UPMin-OC uses logbook and UP DTS to capture/register/track records.

This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer

No

Each unit of the campus has its own receiving/releasing and messengerial units.

Use of logbook or equivalent to record all official records in chronological order

Yes

This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.

13

14 Established control system in records creation 15

Use of retention and classification codes as soon as the records is created / captured

Partial

UPMin-OC uses logbook and UP DTS to capture/register/track records. All memos, AOs and outgoing issuances of the Chancellor are controlled through number codes. These issuances are reviewed by the Chancellor and the AO prior to release.

No 181

This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The campus has no systematic retention and classification system yet but the records management team is expected to propose a system.

Best practices in records management

16 Established standard in registration of records

17

Has prescribed file classification system for uniform filing system

Compliance Yes/No/ Partial Partial

No

Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth

No

Has storage for non-current record integrated with 20 the overall records management program

Yes

Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

UPMin-OC uses logbook and UP DTS to capture/register/track records.

Partial No Partial

Remarks This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process. The campus has no systematic retention and classification system yet. This system must be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.

No

Has adequate records storage integrated with the 18 overall records management program

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP Has set standards and criteria to maximize filing 22 equipment and floor space

Evidence

Non-active records are filed in the storage room which is also almost full. Records retention and disposition must be strictly observed to address this issue. Storage room of the office is almost full.

Steel cabinets, boxes and the storage area are not accessible to any non-UPMin-OC staff, this makes the records safe from any unauthorised access. Only the Chancellor, AO and the records personnel have access to these. 182

Active records are filed in the steel cabinets inside the office. Almost all cabinets are full. Boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records. The office is not ready for future expansion of active records as they lack not only in storage room but also the workforce. As per records personnel, their storage room is for UPMin-OC records only. Each office of the campus has an allocation of one storage room. Compliance with the GRDS of NAP and RDS of the agency is very much needed.

The office has no standard/criteria to maximize filing equipment and floor space.

Best practices in records management

24 Provided rules on how to handle confidential files

25

Has established finding aids in retrieving and accessing records

26 Has tracking system for active records

27 Has an established records loaning system

28 29 30 31 32 33

Has rules in the proper turnover of records to successor/NAP Has an established guidelines on records transfer compliant with NAP rules Developed clear rules in transferring records to archives Separation of records for disposal from those for further retention as suggested by NAP Compliant with the General Records Disposition Schedule (GRDS) of NAP Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS

Compliance Yes/No/ Partial

Evidence

By practice, release of any confidential record must be approved by the Chancellor. This rule should be reviewed and should be documented comprehensively for any future update.

No

Partial

Partial

Partial

Remarks

The DTS is the most efficient finding aid of the office. If not found in the DTS, the records personnel rely on his knowledge of the files.

This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.

UPMin-OC uses logbook and UP DTS to capture/register/track records.

This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.

The office uses logbook to record on loan records and has no period set for on loan records.

This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel. The output of the records management team may include the development of this process.

No

The office has no established rules.

No

The office has no established guidelines.

By practice, the office usually transfer records to archives after the term of a chancellor (3 years).

No No

The office has no established rules.

No

The records management team is expected to develop a records retention and disposition schedule.

No 183

Best practices in records management Use of retention code (RDS/GRDS) before the records are filed 35 Has a disaster recovery plan for records 34 36

Has an approved records inventory and appraisal schedule, at least once a year

Conduct periodic examination of records at least 37 once a year to identify valueless records for disposal Has records preservation and restoration 38 procedures as consulted with NAP Has recently performed a self-audit / review of 39 records management practices 40 Has preservation program for archival records Has an established system in managing electronic 41 records

42 Has adequate digital storage for electronic records 43

Has necessary back-up systems for electronic records

Records management training is included in the 44 organisation’s Education, Training & Development Plan

Compliance Yes/No/ Partial No

Remarks Retention codes are not identified before filing.

No

The office has no records disaster recovery plan.

No

The office usually review its records every 3 years, after the term of a chancellor. This should be reviewed and should be documented comprehensively for any future update.

No

The office has no program for this.

No

The office has no records management audit plan.

No

No

The office has no program for this.

No No No

Partial

45 Has recently sent records personnel to a training

Yes

46

No

There is provision for the regular review of training needs of personnel in-charge of records Findings: Yes No Partial

Evidence

3 33 10

Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.

With the implementation of eUP, the office is now starting to learn on and work with electronic records. Almost 20% of the records of the office are now in electronic format. The electronic records management system must be documented at this early stage. The back-up systems should be in place. Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program.

Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

7% 72% 22%

184

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Baguio

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management 1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Compliance Yes/No/ Partial

No

3

Has an official records and archives office / unit approved by NAP and DBM

No

Constituted a Records Management Improvement Committee

No

5

Established a comprehensive records management program Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review Has manuals of instructions/operations on records 8 management

6

Remarks The records personnel is familiar with ISO 15489 and RA 9470. She has plans to comply with said regulations. Though the records personnel has a copy of NAP RDS, she admitted that she barely consult the schedule. She also tried to inventory their records in 1996 but instead came up with a general listing of all folders in their steel cabinets of the office.

No

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

4 Appointed qualified records officer and archivist

Evidence

The office has no plans yet.

Records management is an additional task to the staff of the office.

No

Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

No

The office has no established records management program.

No

The office has no records management policy.

No

The office has no manuals of instructions/operations on records management. 185

Best practices in records management Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

Designed and implemented a records system to 10 carry out and support the records management processes of the institution

Compliance Yes/No/ Partial

Evidence

Remarks

No

Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.

No

Designing and implementation of records system must be a collective effort of all UPB units. An efficient records system must include all business processes of the campus.

Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Partial

UPB-OC uses logbook to capture/register/track records.

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer

Partial

The UPB-OC is the central receiving/releasing unit of UPB. It has pigeon hole shelving units to systematize This should be reviewed and should be documented this additional function. This is only supervised by comprehensively for any future update. A records the records personnel staff of OC, not by any records officer should supervise this function. officer.

Use of logbook or equivalent to record all official 13 records in chronological order

14 Established control system in records creation Use of retention and classification codes as soon 15 as the records is created / captured

16 Established standard in registration of records

Yes

Partial

The records personnel maintains two logbooks.

This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel.

Memoranda are issued with control numbers. The Chancellor review most of the outgoing issuances prior to release.

This should be reviewed and should be documented comprehensively for any future update.

UPB-OC uses logbook to capture/register/track records.

This should be reviewed and should be documented comprehensively for any future update.

No

Partial

This should be reviewed and should be documented comprehensively for any future update.

186

Records for filing are compiled on the side table of the records personnel for filing during free-time. No codes or notes is assigned to the records upon receipt or filing.

Best practices in records management

Has prescribed file classification system for 17 uniform filing system

Compliance Yes/No/ Partial

Partial

Has adequate records storage integrated with the overall records management program

No

Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth

No

18

20

Has storage for non-current record integrated with the overall records management program

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP

22

Has set standards and criteria to maximize filing equipment and floor space

Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records 24 Provided rules on how to handle confidential files

Partial No No Partial

Evidence

Remarks The records personnel shared that her folder listing file in her computer was compromised during the ICT upgrade of OC.

In 1996, the records personnel came up with the listing of all file folders in their records storage. She updates this list, in longhand, everytime a new folder This process be reviewed and should be documented comprehensively for any future update. The process is created. depends on the practice of the current records personnel.

According to the records personnel, they used to have a storage room for records. But since the room was converted into an office, they are storing their nonactive records in the Board room. She added that during meetings in the Board room, their records are temporary inaccesible. This room is not designed for recordkeeping. Most of the non-active records are filed in the Board The room is not designed for recordkeeping. Vital room. records of UPB-OC should be kept in record-friendly storage area.

Because of the peculiar location of the storage area, records are safe from any unauthorised access. The Board room and the records room are both locked. Only the records personnel has the key to open the doors.

No 187

Has no standard/criteria to maximize filing equipment and floor space. The room is not designed for recordkeeping. Vital records of UPB-OC should be kept in record-friendly storage area. By practice, release of any confidential record must be approved by the Chancellor. This rule should be reviewed and should be documented comprehensively for any future update.

Best practices in records management

25

Has established finding aids in retrieving and accessing records

26 Has tracking system for active records

27 Has an established records loaning system

28 29 30 31 32 33

Has rules in the proper turnover of records to successor/NAP Has an established guidelines on records transfer compliant with NAP rules Developed clear rules in transferring records to archives Separation of records for disposal from those for further retention as suggested by NAP Compliant with the General Records Disposition Schedule (GRDS) of NAP Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS

Use of retention code (RDS/GRDS) before the 34 records are filed

Compliance Yes/No/ Partial Partial

Partial

Evidence In 1996, the records personnel came up with the listing of all file folders in their records storage, though there is no guarrantee that the record can be found in related folders since the list contains folder names only.

UPB-OC uses logbook to capture/register/track records. Additionally, records referred to other offices are tracked through hand-written notes of the records personnel.

Remarks

This rule should be reviewed and should be documented comprehensively for any future update. The office may consider devising new system for efficient tracking. This should be reviewed and should be documented comprehensively for any future update.

No

The records personnel shared that most of the units call her for help when locating records. As a practice, she provide the requestor a photocopy of the record to avoid record loss.As a practice, she mostly provide a photocopy to prevent record loss. The establishment of a loaning system will prevent lost records, and to save on papers too.

No

No established rules.

By practice, non-record materials, like publications, magazines, etc., are sent to the library. The process needs documentation because it heavily depends on the practice of the current records personnel.

No No No

No established rules.

No

Though the records personnel has a copy of NAP RDS, she admitted that she barely consult the schedule.

No

Records for filing are compiled on the side table of the records personnel for filing during free-time. No codes or notes are assigned to the records upon receipt or filing.

No

188

Best practices in records management 35 Has a disaster recovery plan for records Has an approved records inventory and appraisal 36 schedule, at least once a year Conduct periodic examination of records at least 37 once a year to identify valueless records for disposal Has records preservation and restoration 38 procedures as consulted with NAP Has recently performed a self-audit / review of 39 records management practices 40 Has preservation program for archival records

Compliance Yes/No/ Partial No

No

Their last comprehensive records review was in 1996.

No

The office has no program for this.

No

Has no records management audit plan.

No

42 Has adequate digital storage for electronic records

No

Has necessary back-up systems for electronic records Records management training is included in the 44 organisation’s Education, Training & Development Plan

No Partial

45 Has recently sent records personnel to a training

Yes

46

No

There is provision for the regular review of training needs of personnel in-charge of records Findings: Yes No Partial

The office has no records disaster recovery plan.

Their last comprehensive records review was in 1996.

No

43

Remarks

No

Has an established system in managing electronic records

41

Evidence

2 34 10

The office has no program for this.

Records personnel upon receipt of an invitation for a training, request approval from their head to attend such training. The administration seems supportive of her plan to improve her skills on records management.

Though the office is starting to digitize some of its records, a system is yet to be established. The office must gradually document its electronic records management at this early stage. At the moment, their electronic records are saved on to CDs/DVDs and computer hard disk only. They plan to purchase external hard drive to back up their electronic records. The office plans to purchase external hard drive to back up their electronic records. Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program. Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

4% 74% 22%

189

University of the Philippines Self-Audit Tool for Records Management Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470. Scope: Administrative record holdings of the top-level offices/records offices in UP Methodology:Survey questionnaire, interview and site visit Unit : UP Cebu

Date:

01-May-15

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management 1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Use of approved / established records management tools (e.g. classification and filing 2 guides, vocabulary controls, indexing, allocation of number and code)

Compliance Yes/No/ Partial

Evidence

The records personnel are familiar with RA 9470 but did admit that they are not complying with its provisions.

No Partial

Remarks

The office is using a records classification scheme. No other tool is used.

UP Cebu should devise other tool to manage its records effectively.

Has an official records and archives office / unit approved by NAP and DBM

No

4 Appointed qualified records officer and archivist

No

Records management is an additional task to the staff of the office.

3

UP Cebu has no records office. Each office manages its own records.

5

Constituted a Records Management Improvement Committee

No

Has not constituted a standing committee for the improvement of its records management. There were ad hoc committees constituted in 1970s.

6

Established a comprehensive records management program

No

The office has no established records management program.

No

The office has no records management policy.

Has a records management policy adopted and endorsed at the highest decision-making level and 7 promulgated throughout the organization, with schedule of regular review

190

Best practices in records management

Evidence

Remarks

No

The office has no manuals of instructions/operations on records management.

No

Recordkeeping tasks are only reflected in the job description/performance evaluation form of the staff.

Designed and implemented a records system to 10 carry out and support the records management processes of the institution

No

Standardize the process in capturing records considering classification and indexing, logical 11 arrangement, registration in the records system and metadata assignment

Designing and implementation of records system must be a collective effort of all UP Cebu units. An efficient records system must include all business processes of the campus.

Partial

8

Has manuals of instructions/operations on records management

Compliance Yes/No/ Partial

Documented the responsibilities of each records personnel and all other employees of the 9 institution who perform tasks related to management of records

UP Cebu Dean's Office uses logbook and UP DTS to This should be reviewed and should be documented capture/register/track records. comprehensively for any future update.

Established a centralized receiving/releasing and 12 messengerial units under the accountability of the records officer

No

Use of logbook or equivalent to record all official records in chronological order

Yes

UP Cebu Dean's Office uses logbook and UP DTS to This should be reviewed and should be documented capture/register/track records. comprehensively for any future update.

Partial

All memos, AOs and outgoing issuances of the Dean This should be reviewed and should be documented are controlled through uniform title system. These comprehensively for any future update. issuances are reviewed by the Dean prior to release.

13

14 Established control system in records creation

15

Use of retention and classification codes as soon as the records is created / captured

Each unit of the college has its own receiving/releasing and messengerial units.

No

The office has no established rules.

191

Best practices in records management

Compliance Yes/No/ Partial

Evidence

Remarks

16 Established standard in registration of records

Partial

UP Cebu Dean's Office uses logbook and UP DTS to This should be reviewed and should be documented capture/register/track records. comprehensively for any future update.

17

Has prescribed file classification system for uniform filing system

Partial

According to the records personnel, they have a records classification guide.

18

Has adequate records storage integrated with the overall records management program

No

Storage areas allocated to hold physical records 19 have adequate space to accommodate anticipated growth

No

This should be reviewed and should be documented comprehensively for any future update.

Active records are filed in the steel/wooden cabinets inside the office. Almost all cabinets are full. Some boxes are placed on top of the cabinets and tables to accommodate increasing numbers of active records. The records personnel shared that they are not yet ready for future growth of records because of limited storage and limited workforce. Review the types of records for storage. The Only the HR and student non-active records are kept university records are far more encompassing than in the storage room of UP Cebu. just HR and student records. UP Cebu Dean's Office records are also considered vital records.

Has storage for non-current record integrated with 20 the overall records management program

Partial

Established an Agency Storage / Mini Archives 21 for non-current records preparatory their transfer to NAP

No

The storage room cannot be considered as miniarchives. UP Cebu has not planned any transfer of non-active records to NAP or any agency.

Has set standards and criteria to maximize filing equipment and floor space

No

The office has no standard/criteria to maximize filing equipment and floor space.

22

192

Best practices in records management

Access to records storage areas is restricted to 23 prevent unauthorised access, damage, theft or other catastrophic loss of records

24 Provided rules on how to handle confidential files

Has established finding aids in retrieving and 25 accessing records

26 Has tracking system for active records

27 Has an established records loaning system

28 29

Has rules in the proper turnover of records to successor/NAP

Has an established guidelines on records transfer compliant with NAP rules

Compliance Yes/No/ Partial

Partial

Evidence

Remarks

Steel cabinets, boxes and the electronic storage systems are not accessible to any non-UP Cebu Dean's office staff, this makes the records safe from any unauthorised access. Only the Dean and the records personnel has access to these.

No

By practice, release of any confidential record must be approved by the Dean. To protect the records and the office, the rule in handling confidential records must be in place.

Partial

When not found in logbook and DTS, the records personnel rely on her knowledge of the files. Other finding aids should be devised for efficient records management.

Partial

UP Cebu Dean's Office uses logbook and UPS DTS to capture/register/track records.

This should be reviewed and should be documented comprehensively for any future update. The process depends on the practice of the current records personnel.

No

The records personnel shared that most of the units call her to request for records. As a practice, she mostly provide a photocopy to prevent record loss. This requests are all listed in a logbook. The establishment of a loaning system will prevent lost records and to save on papers too.

No

The office has established rules.

No

By practice, non-record materials, like publications, magazines, etc., are kept by the office. 193

Best practices in records management 30

Developed clear rules in transferring records to archives

31

Separation of records for disposal from those for further retention as suggested by NAP

32

Compliant with the General Records Disposition Schedule (GRDS) of NAP

Compliance Yes/No/ Partial

Evidence

Remarks Due to lack of time, records personnel barely review the records for possible disposition.

No No

Retention and disposal of records are dependent on the practice and knowledge of the files of the records personnel. Records for destruction is approved by the Dean.

No

Uses an approved Retention Disposition Schedule 33 (RDS) by NAP, listing all records which are not found in the GRDS

No

34

No

No retention code is used by the office.

No

The office has no records disaster recovery plan.

No

The office has no approved records ineventory and appraisal schedule.

Use of retention code (RDS/GRDS) before the records are filed

35 Has a disaster recovery plan for records 36

Has an approved records inventory and appraisal schedule, at least once a year

Conduct periodic examination of records at least 37 once a year to identify valueless records for disposal 38

Has records preservation and restoration procedures as consulted with NAP

Partial

The office try to review its records annually.

This should be reviewed and should be documented.

No

The office has no program for this.

Has recently performed a self-audit / review of records management practices

No

The office has no records management audit plan.

40 Has preservation program for archival records

The office has no program for this.

41

Has an established system in managing electronic records

No No

39

The office is starting to manage electronic records.

194

Best practices in records management 42 Has adequate digital storage for electronic records 43

Has necessary back-up systems for electronic records

Compliance Yes/No/ Partial No No

45 Has recently sent records personnel to a training

No

There is provision for the regular review of training needs of personnel in-charge of records

No

Findings:

Yes No Partial

1 35 10

Remarks They are now in the process of meeting the hardware requirements of e-records management. The system must also be documented at this early stage.

No

Records management training is included in the 44 organisation’s Education, Training & Development Plan

46

Evidence

The records personnel shared that he is yet to attend any records management training, even basic records management trainings. Training programs should be listed as a regular project of UP with appropriate budget allocation. The training program must be promulgated and promoted. This can be done by assigning a coordinator for UP training program. Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

2% 76% 22%

195

University of the Philippines Self-Audit Tool for Records Management Objective: Scope: Methodology: Unit :

Date:

Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

Best practices in records management 1

Observance of regulatory environment related to records management (e.g. ISO 15489, RA 9470)

Compliance Yes/No/ Partial

Evidence

Remarks

Use of approved / established records management tools (e.g. 2 classification and filing guides, vocabulary controls, indexing, allocation of number and code) 3

Has an official records and archives office / unit approved by NAP and DBM

4 Appointed qualified records officer and archivist

5 Constituted a Records Management Improvement Committee

6 Established a comprehensive records management program Has a records management policy adopted and endorsed at the 7 highest decision-making level and promulgated throughout the organization, with schedule of regular review

8 Has manuals of instructions/operations on records management

Standardize the process in capturing records considering 11 classification and indexing, logical arrangement, registration in the records system and metadata assignment 12

Established a centralized receiving/releasing and messengerial units under the accountability of the records officer

Appendix I-B

Documented the responsibilities of each records personnel and 9 all other employees of the institution who perform tasks related to management of records Designed and implemented a records system to carry out and 10 support the records management processes of the institution

Best practices in records management 13

Use of logbook or equivalent to record all official records in chronological order

Compliance Yes/No/ Partial

Evidence

14 Established control system in records creation Use of retention and classification codes as soon as the records 15 is created / captured 16 Established standard in registration of records 17 18 19 20 21 22 23

Has prescribed file classification system for uniform filing system Has adequate records storage integrated with the overall records management program

Storage areas allocated to hold physical records have adequate space to accommodate anticipated growth Has storage for non-current record integrated with the overall records management program Established an Agency Storage / Mini Archives for non-current records preparatory their transfer to NAP Has set standards and criteria to maximize filing equipment and floor space Access to records storage areas is restricted to prevent unauthorised access, damage, theft or other catastrophic loss of records

24 Provided rules on how to handle confidential files

25 Has established finding aids in retrieving and accessing records 26 Has tracking system for active records 27 Has an established records loaning system

28 Has rules in the proper turnover of records to successor/NAP Has an established guidelines on records transfer compliant with NAP rules 30 Developed clear rules in transferring records to archives Separation of records for disposal from those for further 31 retention as suggested by NAP Compliant with the General Records Disposition Schedule 32 (GRDS) of NAP 29

197

Remarks

Best practices in records management 33

Uses an approved Retention Disposition Schedule (RDS) by NAP, listing all records which are not found in the GRDS

Compliance Yes/No/ Partial

Evidence

Remarks

34 Use of retention code (RDS/GRDS) before the records are filed 35 Has a disaster recovery plan for records Has an approved records inventory and appraisal schedule, at 36 least once a year Conduct periodic examination of records at least once a year to 37 identify valueless records for disposal Has records preservation and restoration procedures as 38 consulted with NAP Has recently performed a self-audit / review of records 39 management practices 40 Has preservation program for archival records 41 Has an established system in managing electronic records 42 Has adequate digital storage for electronic records 43 Has necessary back-up systems for electronic records 44

Records management training is included in the organisation’s Education, Training & Development Plan

45 Has recently sent records personnel to a training 46

There is provision for the regular review of training needs of the personnel Findings: Yes No Partial

Notes: - Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance. - Evidences and remarks are given to explain the findings of the audit.

198

Fact File on the Office of the UP President as of June 2015 Unit: Description:

Appendix II

Office of the UP President (OP) OP backstops the President in overseeing the operations of the whole UP System and in ensuring that the goals set by the Charter, the directives from the BOR and strategic initiatives of the University are all being implemented. The vision of the office depends on agenda or initiatives of the current UP President. Its thrust also depends on the priority programs of the President. The UP President has a single six-year term who is elected by the UP Board of Regents (BOR), the highest policy making body of the University. The President is the chief academic officer, chief executive officer, and the head of the university faculty.

Head:

President Alfredo E. Pascual Orgranizational Chart of UP Office of the President

Reference: Republic Act 9500. An Act to Strengthen the University of the Philippines as the National University , 2008. Retrieved on 11 December 2014 from http://www.lawphil.net/statutes/repacts/ra2008/ra_9500_2008.html Organizational chart was provided by the respondent from OP.

200 Fact File on the Office of the Secretary of University and of the Board of Regents as of June 2015 Unit: Description:

Office of the Secretary of University and of the of the Board of Regents The office facilitates governance of the University through its work as the secretariat and administrative arm of the Board of Regents and the President’s Advisory Council. It serves as the primary interface and communication link between the top policy makers and executive officers of the University on one hand and the diverse stakeholders and resource providers of the University and the general public on the other. Being the repository of Board policies and decisions, the office may also be called upon to conduct or to oversee studies and research on policy issues that require Board attention and action.

Head:

Secretary Lilian A. de las Llagas Orgranizational Chart of Office of the Secretary of University and of the of the Board of Regents

Reference: Official website of the Office of the Secretary of the University and of the Board of Regents. Retrieved on 15 January 2015 from http:// osu.up.edu.ph Organizational chart was downloaded from OSU website.

201 Fact File on UP Diliman as of June 2015 Unit: Description:

History:

Number of students: Number of faculty: Number of degree programs: Current Chancellor:

UP Diliman UP Diliman is the flagship campus of the University of the Philippines. It is the leading Philippine university in science education and research, law, engineering, economics, business administration, education, public administration, communication, and other fields that require professional and licensure examinations. It also has a strong commitment to the arts. It has a total area of 493 hectares. In 1949, UP transferred from Manila to Diliman after the World War II as the Manila campus of the University was devastated by the war. On February 12, 1949, a motorcade made its way from Padre Faura all the way to a cogon-strewn expanse in Quezon City. At its head, borne on an open vehicle, was the Oblation, bronzed symbol of the University of the Philippines, on its way to its future home. This ceremony marked the university's transfer from its original site in Manila to its 493-hectare campus Diliman, which would have more room for the University's expansion as it fulfilled its role as educator to the nation.

23,000 2,000 300 Dr. Michael L. Tan

202 Orgranizational Chart of UP Diliman

203 Organizational Chart of UP Diliman - Office of the Chancellor

References: Official website of the University of the Philippines Diliman. Retrieved on 15 May 2015 from http:// www.upd.edu.ph University of the Philippines. (2014). University of the Philippines . Unpublished brochure, University of the Philippines System Information Office. Organizational charts were provided by the respondent from UPD-OC.

204 Fact File on UP Los Baños as of June 2015 Unit: Description:

History:

Number of students: Number of faculty: Number of degree programs: Current Chancellor:

UP Los Baños UP Los Baños is located in Laguna, nestled at the foot of Mt. Makiling. It is the recognized leader in agriculture, forestry and natural resources, veterinary medicine, biological and environmental sciences, development communication, engineering, mathematics, computer science, and information technology. Its College of Agriculture was one of the first three units organized in UP in 1909, offering the first-of-its-kind university-level instruction in basic and applied agricultural science in Southeast Asia.

Its College of Agriculture was one of the “first three units organized in UP in 1909, offering the first-of-its-kind university-level instruction in basic and applied agricultural science in Southeast Asia. The College then became the nucleus of UP Los Baños in 1972 when the campus was elevated to an autonomous campus through P.D. No. 58.

13,000 1,000 129 Dr. Fernando C. Sanchez, Jr

Orgranizational Chart of UP Los Baños

205 Organizational Chart of UP Los Baños - Office of the Chancellor

References: Official website of the University of the Philippines Los Banos. Retrieved on 15 May 2015 from http:// www.uplb.edu.ph University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office. UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf Organizational charts were provided by the respondent from UPLB-OC.

206 Fact File on UP Los Baños - Records Management Office as of June 2015 Unit: Description: History:

Head:

UP Los Baños - Records Management Office The UPLB-RMO is the official records center established by the BOR for UPLB campus.

The office started under the Administrative Division of the UP College of Agriculture in 1951. It was then created a records section in 1953 under the same college. In 1968, it was reconstituted as the Central Records Division, this time under the Office of the Vice President for Agriculture and Forestry Affairs. The office started to provide mail-messenger, mimeographing, radio communications and other recordkeeping operations. Finally, in 1987, the BOR approved the reorganization of UPLB Administration transferring the RMO under the Office of the Vice President for Administration

Ms. Apolonia L. Talatala Orgranizational Chart of UP Los Baños - Records Management Office

References: UP Los Banos - Records Management Office (UPLB-RMO). (2004). RMO Manual of Operations and Procedures . Unpublished manual. University of the Philippines Los Banos, OVCA. Organizational chart was grabbed from UPLB-RMO Manual of Operations and Procedures.

207 Fact File on UP Manila as of June 2015 Unit: Description:

History:

Number of students: Number of faculty: Number of degree programs: Current Chancellor:

UP Manila UP Manila is the health sciences center of the UP System. It is the home to the National Institutes of Health (NIH) and the largest government tertiary hospital in the country, the Philippine General Hospital. Its mission/vision is to constantly strive to become an outstanding and relevant institution of the higher learning. Thus it shall provide the highest quality of advanced instruction, professional training, basic and applied research and community service, and thereby produce outstanding scholars, practitioners and leaders in the fields of health, the natural sciences, the social sciences and the humanities. UP Manila at the Ermita-Padre Faura campus is the birthplace of UP in 1908. Because of World War II, UP campus in Manila was severely damaged. The University transferred to Diliman, Quezon City in 1948 leaving behind the College of Medicine, College of Public Health and College of Dentistry which continue to hold classes in makeshift rooms. Through the years, additional college, institutes and units were established in Manila.

5,900 1,200 62 Dr. Carmencita D. Padilla

208 Orgranizational Chart of UP Manila

209 Organizational Chart of UP Manila - Office of the Chancellor

References: Official website of the University of the Philippines Manila. Retrieved on 15 May 2015 from http:// www.upm.edu.ph University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office. UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf Organizational charts were provided by the respondent from UPM-OC.

210 Fact File on UP Visayas as of June 2015 Unit: Description: History:

Number of students: Number of faculty: Number of degree programs: Current Chancellor:

UP Visayas UP Visayas operates three campuses in Iloilo, Miagao and Tacloban. It is the leading university in marine science education and research, fisheries, and aquaculture.

UP Visayas started as UP Iloilo College in 1947. After seven years, it became a full-fledged college and was renamed as UP College Iloilo. In 1979, the BOR approved the establishment of an autonomous University of the Philippines in the Visayas. UP Visayas was operationalized in 1980 through the Executive Order No. 628 issued by President Ferdinand Marcos, with the main campus in Miagao, and with the College of Fisheries as its flagship college.

4,900 350 38 Dr. Rommel A. Espinosa

Orgranizational Chart of UP Visayas

211

Organizational Chart of UP Visayas - Office of the Chancellor

References: Official website of the University of the Philippines Visayas. Retrieved on 15 May 2015 from http:// www.upv.edu.ph University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office. UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf Organizational charts were provided by the respondent from UPV-OC.

212 Fact File on UP Open University as of June 2015 Unit: Description: History:

Number of students: Number of faculty: Number of degree programs: Current Chancellor:

UP Open University The UP Open University is a virtual university with base office in Los Baños, Laguna. It has seven learning centers and 21 testing centers all over the country. It also has virtual learning centers for its students based abroad. UP Open University was established on 23 February 1995 as the leader in teaching and learning in the digital age. It provides quality education to students in the country and abroad who are not able to attend conventional colleges and universities due to personal and professional constraints.

2,500 200 29 Dr. Grace J. Alfonso

Orgranizational Chart of UP Open University

213 Organizational Chart of UP Open University - Office of the Chancellor

References: Official website of the University of the Philippines Open University. Retrieved on 15 May 2015 from http:// www.upou.edu.ph University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office. UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf Organizational charts were downloaded from UPOU website.

214 Fact File on UP Mindanao as of June 2015 Unit: Description:

History:

Number of students: Number of faculty: Number of degree programs: Current Chancellor:

UP Mindanao UP Mindanao's vision is to “EXCEL in Leadership, Education, Nationalism, Cultural sensitivity, and Environmental nurturance”. It is committed to lead in providing affordable quality education, scholarly research, and responsive and relevant extension services to diverse, marginalized and deserving sectors in Mindanao and neighboring regions through its programs in the sciences and the arts, inculcating a passion for excellence, creative thinking, and nationalism in the context of cultural diversity in a global community. UP Mindanao was established on 20 February 1995 through the enactment of Republic Act 7889 which created UP in Mindanao. In 1998, the BOR granted full autonomy to UP in Mindanao and became the sixth constituent unit of the UP System.

1,100 93 11 Dr. Sylvia B. Concepcion

Orgranizational Chart of UP Mindanao

215 Organizational Chart of UP Mindanao - Office of the Chancellor

References: Official website of the University of the Philippines Mindanao. Retrieved on 15 May 2015 from http:// www.upmin.edu.ph University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office. UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf Organizational charts were provided by the respondent from UPMin-OC.

216 Fact File on UP Baguio as of June 2015 Unit: Description:

History:

Number of students: Number of faculty: Number of degree programs: Current Chancellor:

UP Baguio UP Baguio is also known as the UP in the North. Throughout the years, UP Baguio has “worked at serving as the lead institution in the delivery of tertiary education in Northern Luzon, sustaining its efforts at modernization, the strengthening of curricular programs, and the active generation of knowledge through research”.

UP Baguio traces its root in 1921 when a branch of the UP College of Liberal Arts was established in Vigan, Ilocos Sur. This was later transferred to Baguio in 1938 under the name UP College of Arts and Sciences. After the World War II, the college needed to be re-established as the building and facilities were totally destroyed by military operations. The re-construction was completed in 1961. The BOR granted the constituent university status to UP Baguio in 2002.

3,000 143 14 Dr. Raymundo D. Rovillos

Orgranizational Chart of UP Baguio

217 Organizational Chart of UP Baguio - Office of the Chancellor

References: Official website of the University of the Philippines Baguio. Retrieved on 15 May 2015 from http:// www.upb.edu.ph University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office. UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf Organizational charts were provided by the respondent from UPB-OC.

218 Fact File on UP Cebu College as of June 2015 Unit: Description: History:

Number of students: Number of faculty: Number of degree programs: Current Dean:

UP Cebu College Being an autonomous college, UP Cebu envisions to significantly contribute to the development of the Central Visayas region through a constant produce of researches, higher education instruction and technical assistance. UP Cebu was established in 1918 as satellite unit of UP Diliman. It is the oldest among the UP campuses outside of Luzon. It was later on attached to UP Visayas as one of its campuses. In 2010, the BOR elevated its status to an autonomous college.

1,600 120 13 Atty. Liza D. Corro Orgranizational Chart of UP Cebu

219 Organizational Chart of UP Cebu

References: Official website of the University of the Philippines Cebu. Retrieved on 15 May 2015 from http:// www.upcebu.edu.ph University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University of the Philippines System Information Office. UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf Organizational charts were provided by the respondent from UP Cebu.

Office: Record Officer in-charge: Date: PART I: List of Documentation to be requested from units concerned NOTE: Please "/" the column after each document if available and "x" if none. You may include a remark for some notation. Please provide the documents together with the accomplished survey questionnaire. Thank you!

Table 1: Checklist of Documentation Required for Records Management Audit Remarks 1 Relevant organizational structure chart 2 Mission statements for organization and/or department 3 Records management mission statement 4 Records management policy 5

Records management procedures / manual used by the records management personnel, including any inhouse training material or details of other training

6 Specifications for automated records management systems for paper records 7 Specifications of records management systems for digital records 8 Retention schedules 9 Access authorizations 10 Accession records 11 Documentation on records destruction or contracted-out services 12 Written specifications for shelving, boxing, and storage facilities 13 Vital records inventory 14 Vital records protection procedures, including recovery in event of disaster

16 Agreements with any third-party service providers for business continuity services 17 Surrogacy program (digitization or microfilm/fiching ) documentation 18 Staff job descriptions of personnel in-charge of records

Appendix III-A

15 Business continuity plan

Appendix III-B Part II: Survey Questionnaire (For Records Managers / Personnel) Instructions: Please answer the survey questionnaire by either providing your answers or by ticking your answer/s from the listed choices. Thank you. I.

Information about the institution and the records personnel

Name of the office/ department: Date of establishment: Head of the office/ department: Designation: Objectives and functions of the office:

Size of staff/ No. of employees:

Name of Records Officer / Personnel: Designation and years of service: Educational attainment: Names of other personnel in-charge of records with designation and years of service:

II. List of rules, policies, laws and other regulations observed in records management (please give the agency that issued the regulation).

III. Records 1. Do your records meet the requirements and needs of your office? [ ] Yes [ ] No Please explain your answer briefly. 2.

Please provide percentages of the records formats your office manages. Paper ___% Electronic ___% Microform ___% Others, please provide.

222 IV. Records Management Tools: Please check the tools you are using in the office [ ] Records classification scheme [ ] Records disposition authority/schedule [ ] Security and Access Classification Scheme [ ] Thesaurus [ ] Index [ ] Allocation of number and code [ ] Glossary of terms or other vocabulary control [ ] Security and access guides [ ] Records inventory and appraisal [ ] Records disposition schedule (RDS) [ ] General Records Disposition Schedule (GRDS) [ ] Records management manual [ ] Retention code based on GRDS and agency’s RDS [ ] File classification guide/scheme for uniform filing system [ ] Requisition and charge-out procedures in issuing files [ ] Other tools, please provide. V. Records Management Practices: 1. Do you have an established Records and Archives Management Program? [ ] Yes

[ ] No

2. Do you have manuals of instructions on how to manage your records? [ ] Yes [ ] No If yes, please list and describe briefly. 3. Do you have a documentation of the responsibilities of each records personnel? [ ] Yes [ ] No 4. Do you have specific areas/services for the following? Mail Operations Messengerial Service Records classifiers, indexers and filers Storage areas

[ [ [ [

5. Do you have: A centralized messengerial service? A centralized releasing and receiving office? A records center?

[ ] Yes [ ] Yes [ ] Yes

] ] ] ]

Yes Yes Yes Yes

[ [ [ [

] ] ] ]

No No No No

[ ] No [ ] No [ ] No

A. Records Creation / Capture 1. What are the types of records created and maintained by the office? [ ] Memoranda [ ] Correspondence files [ ] Financial reports [ ] Minutes of meetings [ ] Speeches [ ] Government publications [ ] Annual reports [ ] Audio-visual materials [ ] Records of research activities done by and for the local government [ ] Photographs [ ] Policy and procedure manuals [ ] Organizational charts or plantilla [ ] Others (please specify) 2. Are there directives issued for controlling the creation of records? [ ] policy on control/issuance number of records [ ] policy on formatting, number of pages, etc. [ ] Others, please describe briefly

223 3. Are outgoing letters and memoranda reviewed and revised prior to their release? [ ] Yes [ ] No If Yes, how often and by whom? 4. Do you have uniform prescribed titles for the following administrative issuances? Administrative Order [ ] Yes [ ] No Circular [ ] Yes [ ] No Executive Order [ ] Yes [ ] No Memorandum Order [ ] Yes [ ] No 5. Do you have the following machine records processors? Photocopying (Xerox) Machines [ ] Yes Microfilms [ ] Yes Computers / Scanners [ ] Yes

[ ] No [ ] No [ ] No

6. Do you process the records being captured by adding notes on index, access conditions, classification guide, disposition schedule, and other related details? [ ] Yes [ ] No Please explain your answer briefly. 7. For electronic records, do you capture the metadata associated with it? [ ] Yes [ ] No B. Record Registration 1. How do you register your records? [ ] Logbook system [ ] Document Tracking System [ ] Computer-aided system [ ] Others (Please provide) 2.

What are the elements you capture to register a record? [ ] Unique identifier or control number [ ] Date and time of registration / receipt [ ] Title or short description [ ] Author, sender, or recipient [ ] Others, please provide.

3.

Do you classify the records immediately after registration?

C. Classification How do you classify your records? [ ] By types or forms [ ] By office or institution [ ] By geographic grouping [ ] Others, please provide.

[ ] Yes [ ] No

[ ] By subject or topic [ ] By date or chronology [ ] By numeric category (number or code)

D. Identification of disposition status 1. Do you identify the retention / disposition of the record before filing? [ ] Yes [ ] No 2. How you identify the retention / disposition of the record? [ ] By personal assessment / experience [ ] By set of rules / guidelines approved by the agency [ ] By records disposition schedule (RDS) [ ] Others, pleas provide.

224 E. Storage 1. Do you sort and file your record according to its classification (please refer to letter “C”)? [ ] Yes [ ] No 2. How do you file your records? [ ] With folder and label [ ] Stapled with label [ ] Others, please provide. 3. Where do you store your records? [ ] Steel filing cabinets [ ] Wooden filing cabinets [ ] Shelves / Racks [ ] Boxes [ ] Electronic storage devices (email, PCs, USB, DVD, repositories) [ ] Others, please provide. 4. What is your time lag in the filing of active records? 5. Do you prohibit the filing of non-record materials? (for example: books, magazines, daily newspapers) [ ] Yes [ ] No If yes, how? [ ] Transfer to (what office) [ ] Dispose (how) [ ] Others, please specify 6. Do you have a filing manual? [ ] Yes

[ ] No

7. Do you have a disaster recovery plan for your records? [ ] Yes

[ ] No

8. How is the status of your records storage? [ ] Has adequate space [ ] With limited space Please give short description. 9. Does your office use digital storage? [ ] Yes

[ ] No

[ ] Considering

10. On digital storage, do you have the following in place? [ ] Hardware and software requirements [ ] Backup systems [ ] Maintenance process 11. How ready is your office for future expansion of active records?

F. Use and Tracking 1. What control systems or finding aids does the office devise when locating or retrieving records / documents? [ ] index cards [ ] inventory [ ] compiled guides [ ] computer [ ] knowledge of the files [ ] others, please specify

225 2. What recording system is required by officials in loaning out files? [ ] borrower’s slips [ ] receipt slips [ ] others, please specify 3. What system do you use to track active (referred to other office) records and on loan records? [ ] recall slips [ ] follow up slips [ ] tickler slips [ ] computer-aided file [ ] others, please specify. 4. Who determines whether confidential files may be released? 5. What is the maximum period set for the loan of records? G. Implementation of Disposition 1. Have you inventoried your files for the purpose of determining their retention or disposition? [ ] Yes [ ] No If yes, please describe the results of your inventory. 2. Do you have policies and procedures for the preservation and retention of records? [ ] Yes [ ] No 3. Do you have a schedule being followed to identify what records to retain or dispose, how long these materials should be retained and how to dispose these records? [ ] Yes [ ] No 4. Which of the following describe your current practices in records retention? (please check all that apply) [ ] retaining information concerning the past and present decisions as part of the institutional memory and information about decisions and activities in the present and in the future [ ] retaining evidence of the past and present activities to meet accountability obligations [ ] eliminating as early as possible and in an authorized and systematic manner, records which are no longer required for the operations and activities of the office [ ] retaining the context of the records which will enable future users to judge the authenticity and reliability, even in cases where records systems in which they are retained have undergone significant changes [ ] identifying the enforceable or legitimate interest that stakeholders may have in preserving the records for longer than they are required by the office itself [ ] identifying and assessing legal, financial, political, social, or other positive gains for preserving records to serve the interest of research and the society 5. Have you planned for the systematic disposition of records by: Segregation and disposal of non-record materials (such as books, magazines, etc.)? [ ] Yes [ ] No Segregation and disposal of valueless materials? [ ] Yes [ ] No Transfer of valuable records to a storage area, [ ] Yes [ ] No archives, or depository? 6. Who develops and coordinates these records dispositions plans/schedules?

226 7. How often do you dispose valueless records? 8. Do you identify or list the records to be destroyed? [ ] Yes [ ] No 9. Who gives consent to destroy records? 10. Do you have established guidelines on transfer of custody/ownership of records? [ ] Yes [ ] No 11. What safeguards do you have to avoid unauthorized removal or destruction of records? 12. Do you have policies and procedures for the preservation and restoration of records? [ ] Yes [ ] No If yes, please describe briefly.

VI. Monitoring and Audit 1. Do supervisors/ heads inspect the conditions of files? [ ] Yes If yes, how often?

[ ] No

2. Do you inventory records? [ ] Yes [ ] No If yes, how often? 3. Do you audit your records management practices? [ ] Yes If yes, how often?

[ ] No

4. Do you have an existing audit tool for your records management needs? [ ] Yes

[ ] No

5. Do you have an existing Records Management Improvement Committee? [ ] Yes

[ ] No

VII. Records Problems Please rate each entry from 1 to 5; all may have the same rate. (5 – strongly agree, 4 – agree, 3 – neutral, 2 – disagree, 1 – strongly disagree) 1. Common difficulties experienced in storage and retrieval of records ___ records sought have been lost, destroyed, or misarranged ___ records retrieval tools such as inventories, indexes, and lists, are inefficient ___ old records are not destroyed at the right time ___ there are some hindrances to attaining records ___ filing system is not efficient 2. Description of your records management practices? ___ The institution's administrative system is operating without problems. ___ There are no communication and coordination problems between managers and their subordinate staff. ___ There are no communication and coordination problems among the staff. ___ Administrative and legal regulations are adequate to support the smooth running of the work processes within your working unit.

227 ___ The records management system is effective and efficient for formal communication, legal requirements, and decision making in my university. 3. Causes of records problems: ___ Managers sometimes do not pay enough attention to our work. ___ Ineffective bureaucracy and slow communication channels. ___ Inefficiency of the records management system used for form.al communication. ___ Retrieval of required records can be problematic. ___ Problematic behavior of other workers VIII. Records Office and Personnel 1. Do you have a records office/records management office in your institution? [ ] Yes [ ] No If yes, please describe the following: a. Organizational structure of the records office (please use additional sheet if necessary)

b. Functions of the office

c. Staffing and duties

2. Do you have an appointed records officer? [ ] Yes [ ] No 3. How do you view your role in recordkeeping in relation to the overall daily business activities of your office? [ ] Very important [ ] Important [ ] Slightly important [ ] Not important 4. How much time do you spend on records issues in the usual workday? [ ] more than 4 hours [ ] 1 to 4 hours [ ] 31-60 minutes [ ] 30 minutes 5. Would you like to have a records center as a centralized area/depository for your semi-active and inactive records? [ ] Yes [ ] No 6. Do you have plans of establishing a records center as a centralized area/depository for your semi-active and inactive records? [ ] Yes [ ] No

228 7. Do you plan / consider having a standard records management program for UP? [ ] Yes [ ] No Please explain your answer briefly. 8. Do you have a schedule of training your records/archives officer / staff ? [ ] Yes [ ] No 9. What trainings have your records personnel had? Please provide the dates of trainings.

10. What training (if any) do you feel your records personnel need? Please explain your answer briefly.

11. Does the institution give support to the records management program? [ ] Yes [ ] No Please explain your answer.

12. Are you aware of the punishment under the law for records management related offenses? [ ] Yes [ ] No IX. Archival Practices 1. Do you have an archives office/unit? [ ] Yes [ ] No 2. Do you have a mini archives/storage for your non-current records? [ ] Yes [ ] No 3. Do you have a written policy and guideline/manual on how to handle archival materials? [ ] Yes [ ] No If yes, please provide and describe briefly. 4. Do you have a preservation program of archival records? [ ] Yes [ ] No 5. Who are authorized to access your archival records? [ ] Officials and other employees (including students) [ ] Open to public [ ] Others, please specify

---Toward a OneUP Records Management Program. Thank you for your participation.---

Appendix III-C

Survey Questionnaire on Records Management Practices of UP Toward a OneUP Records Management Program. Thank you for your participation. * Required

Unit * OP OSU UP Diliman UP Manila UP Los Baños UP Visayas UP Open University UP Mindanao UP Baguio UP Cebu

Are you satisfied on how your office manages your records? * Yes No

What are the common problems you encounter in managing your records? * You may choose more than 1 answer. Missing records Misrouted records Difficulty in retrieving/accessing records Skills of the staff Other:

Would you like to consider standardizing the records management in your campus? * Yes No

How much budget are you willing to commit to improve the records management of your office / campus? * no limit, will support all efforts to standardize the records management maximum of P500,000/year P100,000 to P200,000/year up to P50,000/year Not ready to commit financial support

Appendix III-D

Survey questionnaire on the records management in UP For frequent UP records clients

How would you rate the performance of records offices/units in UP? Outstanding Very good Satisfactory Not satisfactory Poor

What are the common problems you encounter in dealing with the records units in UP? You may choose more than 1. Please share your experience if not listed in the choices below. Hostile records managers/staff Absence of a standard practice Poor records retrieval skills - delay in providing requested records Other:

Optional: Any suggestion in addressing the records management problems in UP?

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Appendix IV

OFFICE OF THE PRESIDENT University of the Philippines

17 April 2015 President Alfredo E.Pascual University of the Philippines SUBJECT:Permission to conduct survey and interview in connection with the study entitled "A Sample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a Self-Audit Tool"

....

Dear President Pascual/Sir, I am conducting a researchstudy on record management practices of UP. This is in partial fulfillment of the requirements for the degree of Master of Library and Information Science(MUS). In this connection, may I secureyour authorization / permissionto conduct survey and interview in OP,OSU, OCsand Dean'sOffice of UPCebu in connection with the above-captioned study? I need youfauthorization to accessthe files on the policies/guidelines in managing records of said units. Likewise, I need the help of the records officers/staff in answeringthe attached questionnaire. Interview will also be conducted to supplement the gathered data from the questionnaire. Additionally, a short questionnaire will be sent out to you and other heads of the respective units. I hope to get the support of the administration to make this study a success.There is really the need to reflect on our records management practicesto intensify our call for operational excellence. Thank you very much. Respectfullyyours,

Ex utive Assistant Office of the President

University of the Philippines

232

School of Library and Information Studies

17 April 2015 President Alfredo E. Pascual University of the Philippines Dear President Pascual: Greetings! I am a student of the School of Library and Information Studies, UP Diliman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled itA Sample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO 15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in the Office of the President, Office of the Secretary of the University and the Offices of the Chancellors / Office of the Dean, particularly the records office/section of the respective offices. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

Re elle O.Cornia-Duenas 03 05425

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

University of the Phili ppines

233

School of Library and Information Studies

17 April 2015 Dr. Lilian A. De Las LJagas Secretary of the University and the Board of Regents University of the Philippines Dear Secretary De Las LJagas: Greetings! I am a student of the School of Library and Information Studies, UP Diliman, taking up Master of Library and Information Science (MUS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO 15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in the Office of the Secretary of the University and of the Board of Regents, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officer/so Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

Rec elle O.Cornia-Duenas 03- 5425

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

University of the Philippines

234

School of Library and Information Studies

17 April 2015

Dr. Michael L. Tan Chancellor, UP Diliman Dear Chancellor Tan: Greetings! I am a student of the School of Library and Information Science, UP Diliman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO 15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. Your campus, being one of the constituents universities of UP,is one of the subject units of my research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in your office, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officerIs. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

Rec elle O.Cornia-Duenas 03- 5425

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

University of the Philippines

235

School of Library and Information Studies

17 April 2015

Dr. Fernando C. Sanchez Jr. Chancellor, UP Los Banos Dear Chancellor Sanchez: Greetings! I am a student of the School of Library and Information Science, UP Diliman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. Your campus, being one of the constituents universities of UP,is one of the subject units of my research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in your office, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officerIs. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

Rec elle O. Cornia-Duenas 03- 5425 UP Diliman

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

University of the Philippines

236

School of Library and Information Studies

17 April 2015

Dr. Carmencita D.Padilla Chancellor, UP Manila Dear Chancellor Padilla: Greetings! I am a student of the School of Library and Information Science, UP Diliman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. Your campus, being one of the constituents universities of UP, is one of the subject units of my research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in your office, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officerIs. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

Rech~~as 03-0~~;~' UP Diliman

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

University of the Philippines

237

School of Library and Information Studies

17 April 2015

Dr. Rommel A. Espinosa Chancellor, UP Visayas Dear Chancellor Espinosa: Greetings! I am a student of the School of Library and Information Science, UP Diliman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. Your campus, being one of the constituents universities of UP,is one of the subject units of my research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in your office, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officerIs. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

Rec lIe O. Cornia-Duenas 03- 425 UP Diliman

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

University of the Philippines

238

School of Library and Information Studies

17 April 2015 Dr. Grace J. Alfonso Chancellor, UP Open University Dear Chancellor Alfonso: Greetings! I am a student of the School of Library and Information Science, UP Diliman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. Your campus, being one of the constituents universities of UP,is one of the subject units of my research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in your office, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officerIs. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

~

ReCElle O~fias 03- 5425 UP iliman

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

University of the Philippines

239

School of Library and Information Studies

17 April 2015

Dr. Sylvia B.Concepcion Chancellor, UP Mindanao Dear Chancellor Concepcion: Greetings! I am a student of the School of Library and Information Science, UP Diliman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. Your campus, being one of the constituents universities of UP,is one of the subject units of my research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in your office, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officerIs. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

Rec elle O. Cornia-Duenas 03- 5425 UP Diliman

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

University of the Phili ppines

240

School of Library and Information Studies

17 April 2015

Dr. Raymundo D. Rovillos Chancellor, UP Baguio Dear Chancellor Rovillos: Greetings! I am a student of the School of Library and Information Science, UP Dillman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. Your campus, being one of the constituents universities of UP, is one of the subject units of my research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in your office, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officerIs. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

ReC~iias 03-~~~~'

UP Diliman

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies

241 University of the Philippines

School of Library and Information Studies

17 April 2015

Atty. Liza D.Corro Dean, UP Cebu Dear Dean Corro: Greetings! I am a student of the School of Library and Information Science, UP Diliman, taking up Master of Library and Information Science (MLIS). I am currently conducting a survey for my research paper entitled "ASample Assessment of Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and determine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the university. A self-audit tool for UP will also be proposed at the end of the study. Your college, being an autonomous college of UP, is one of the subject units of my research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and interviews in your office, particularly the records office/section. It will be appreciated if you could endorse my letter to your records officerIs. Lastly, may I also solicit your help in answering a short survey which I will send via email? Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall be used for research purposes only. Thank you. Respectfully yours,

Rec elle O. Cornia-Duenas 03- 5425 UP Diliman

Noted by:

Prof. Benedict S. Olgado UP School of Library and Information Studies