ORGANISE AND

CONTROL
RECORDS
OBJECTIVES

• be able to understand better the importance

of RecordsManagement.
• Toidentify the basic of what to keep, what to discard,
and when to do so.
• Toknow how to handle the records you keep, and
records to be created in the future.
Records Management Benefits:

• Uniformity of filing system;

• Standardization and control in the creation and
revision of forms;
• Proper filing facility and storage area;
• Systematic and orderly transfer of inactive
records;
• Ease of record’s retrieval; and
• Compliance to statutory and regulatory
requirements.
What is Records Management?

- a logical and practical

approach in creation,maintenance,
use and disposition of records.
Records Management

DISPOSITIO
N MAINTENANCE

PROCESSING/USE

DISTRIBUTION

CREATION
Difference between:
Documents Records
• It is the form that will • It is an object
be used to gather containing
data. information which
• It is created to use as serves to preserve or
evidenced of data. perpetuate
knowledge of events,
facts or ideas.
• It is the memory bank
of an organization.
 Capturing information

An essential part of managing your agency’s business

information and records is to capture it into systems that
manage and support its use over time.

In some instances ‘capturing’ will be as simple as saving the

information into your agencies records management system,
such as an EDRMS. Sometimes the capture process will be more
complex and involve digitizing, migrating or encapsulating
information to support its use, management and preservation.
Capture should be easy
Make the capture process easy for all staff. This should reduce the risk of
information and records not being captured.
Where possible:

•automate the process

•integrate capture into normal business processes
•provide clear, precise instructions and support
Staff should know where to capture their information. Business information
and records should not be kept on personal drives or group work spaces.
Approved locations may include:
•electronic document and records management systems (EDRMS)
•business systems and databases specific to your agency’s business
•administration systems for finance and human resources management
•paper registry files
 Digitizing – capturing
physical records into digital
formats
Your agency needs to make well informed decisions about moving to digitization
or undertaking a digitization project. There are a variety of reasons for digitizing:

• streamlining a business process - scan incoming correspondence so it can

be managed more effectively through the work flow
• improving access to information
• protecting records by reducing the risk of physical records such as paper,
photographic, digital or audiovisual, deteriorating over time
• reducing costs of physical storage
 Scanning incoming paper

Many agencies still receive business information as paper

documents, such as handwritten correspondence, typewritten
material, completed forms or signed documents. Most of these
documents can be scanned and digitally captured in an approved
records management system.
Things to consider for scanning incoming paper:

• identify what paper is being received

• what business process is linked to or reliant on the paper
• decide if scanning the paper will improve the business process
by making it faster, more efficient, less resource intensive
• the costs and risks of maintaining the paper document
• compare the costs and risks with the likely benefits
Data

- refers to the information

contents of the record. All
personnel responsible for filling
out records shall ensure that the
data encoded are correct.
Record Code
RECORD SERIESCLASSIFICATION
Live Birds Receiving InspectionTally Sheet (LIBRIS)
QR-RMW-01-01

Code
QR Quality Records
RMW Raw Materials Warehouse Records
01 RMW Series Number
01 Document Number
Filing System
A system of classifying into files usually
arranged alphabetically orchronologically.

RECORD CLASSIFICATION. Process in which records are

identified and categorized for filing on the basis of their
subject matter and subject category, and are assigned a
file number for efficient retrieval.
Retention Period

The retention period of a document is an

aspect of records management. It represents
the period of time a document should be kept or
"retained".
• Active Retention Period
• Inactive Retention Period
Storage Area

• Active Storage Area

A handy place within the office since the
records are active thus they are use frequently.

• Archive Storage Area

A place that is less accessible since the
records are not used in a regular basis.
Disposal Method

Disposal of obsolete records.

• Recycling
• Shredding
Example:
MATERIALS REQUISITION FORM
Record Code QR-RMW-01-04
Filling System Chronological (Monthly)
Active Retention Period One (1)Month
Inactive Retention Period Two (2) Years
Active Storage Area SC-WHSE-01-01
Archive Storage Area WC-RR-05 B
Disposal Method Recycle
Records Retention System

OBJECTIVES:
To preserve records as long as needed.
To dispose records as soon as no longer
needed.
Records Retention System
Why retain records?
• Operating Value
The value of a record series used in retrieval
of information for and as input to routine or day-
to-day functions.
• Administrative Value
The value of a record series to the creating
office in the performance of its assigned
operations within the organization.
Records Retention System
Why retain records?
• Fiscal Value
The value attributed to a record series
which documents financial transactions or which
have an audit trail.
• Legal Value
The value attributed to a record series
which documents business ownership,
agreements and legally sanctioned transactions.
Records Retention System

Why Dispose Records?

• Save on Space and Equipment

• Streamlined Access to Information
• Safety (e.g. fire hazard prevention etc.)
• Prevent Unnecessary Legal Liabilities
Types of Records
⊙ Active Records
Records which are still actively being used by
an office. These records will be located in a handy
place within the office since they are used
frequently.
⊙ Inactive Records
Records that do not have to be readily
available but which must be kept for legal or
historical purposes as defined in the Records
Retention Schedule.
⊙ Obsolete Records
Records no longer needed or which have
been superseded by more current editions of the
same series.
Management of Active Records

• File
Records kept in order in a folder, binder,
etc.; a collection of records involving a specific
name or topic.
• Filing
Process of arranging and storing materials
systematically so that they can be located easily
when needed.
Requirements:

• Files Listing
A complete and up-to-date listing of all the
files of a department or section and their
location; entries appear in the same order as the
files in the drawers/shelves; also known as the
Master list of Files.
Requirements:

• Filing Equipment
Records should be maintained in proper
filing equipment, depending on the size and type
of records; all filing equipment should be
properly labeled.
Filling Equipment:
• Sequence: Top to Bottom and Left to Right.

SC –HRD –01 – 01
SC Type of Filing Equipment (SteelCabinet)
HRD Department
01 Number of steel cabinet in the Department
01 Rack number
Filing Folders

• File Folder Label

Captions should include the RRS code,
record title, coverage date, date of transfer to
Records Center and disposal date.
Captions should be affixed to the folder
tabs for ease in reading and searching and
improved appearance.
Filing Folders
Record Title Coverage Date
QR Code Date of Transfer to RR
Disposal Date
Filing Folders
DEFINITION OF TERMS
• Coverage Date
Generally, the scope (start and end) of
dates of creation of records included in a file
• Date of Transfer to Records Center
Date when records become inactive
• Disposal Date
Date when records become obsolete
COMPUTATION OF DATESFOR
RECORDS DISPOSITION

• Date of Transfer to Records Center

=after (active retention period)
• Disposal Date
=after (date of transfer to RR + inactive
retention period)
Example:
MATERIALS REQUISITION FORM
Record Code QR-RMW-01-04
Filling System Chronological (Monthly)
Active Retention Period One (1)Month
Inactive Retention Period Two (2) Years
Active Storage Area SC-WHSE-01-01
Archive Storage Area WC-RR-05 B
Disposal Method Recycle
 Filing Folder Label
Materials Requisition Form August 2015
QR-RMW-01-04 September 2015
October 2017

MATERIALS REQUISITION FORM • Date of Transferto

Record Code QR-RMW-01-04 Records Center
Filling System Chronological (Monthly) =after (active retention
Active Retention Period One (1)Month period)
Inactive Retention Period Two (2) Years • Disposal Date
Active Storage Area SC-WHSE-01-01 =after (date of transfer to
Archive Storage Area WC-RR-05 B RR + inactive retention
Disposal Method Recycle period)
Example:
VERIFICATION OF TEMPERATURE GAUGE
Record Code QR-CAL-09-05
Filling System Chronological
Active Retention Period Three (3) Months
Inactive Retention Period One (1) Year
Active Storage Area Calibration Office Table
Archive Storage Area WC-ENG-01-02
Disposal Method Recycle
 Filing Folder Label
Verification of Temperature Gauge July-September 2015
QR-CAL-09-05 October 2015
November 2016

VERIFICATION OF TEMPERATURE GAUGE • Date of Transferto

Record Code QR-CAL-09-05 Records Center
Filling System Chronological (Monthly) =after (active retention
Active Retention Period Three (3) Months period)
Inactive Retention Period One (1)Year • Disposal Date
Active Storage Area Calibration Office Table =after (date of transfer to
Archive Storage Area WC-ENG-01-02 RR + inactive retention
Disposal Method Recycle period)
Role of DepartmentHead

• Ensure that data needed in form provided

where properly filled up. Conduct hourly or
frequency of data verification
• Ensure that all reports are submitted after shift or
before end of day. If not make sure you are
always on top of your department.
• Make sure that data in the form are readable
• Records are input in analysis, review the data
and analyzed for continual improvement.
• File properly the records.
Role of Section Head
• Properly filled up all data needed in form
provided on realtime
• All data in the form will be our input in analysis
• Properly correct the data if there will be some
erasures needed
• Make sure that data in the form are readable
• Ensure that your records are signify by person
prepared and your department head before
submission
Role of Admin Staff
• Ensure that data needed in form provided
where properly filled up prior to filing.
• Check all reports that are needed to submitted
after shift or before end of day. Make it a habit.
• Make sure that data in the form are readable, if
there were some questions in report ask the
personnel who prepared.
• File properly the records in their folder with label
– coverage date, retention and disposal date
Role of Admin Staff

• File all folders in their storages with proper

definition, identified in QRM for easy retrieval.
• After active period of records secure a
transmittal of all records to be transferred in
Records Room.
Monthly Documentation Audit
• Audit will be initiated on the sixth (6th) working
day of the succeeding month.
[e.g. August 2015 files will be checked on
September 7, 2015]
• Active storage area
• Proper filling arrangement
• Completeness
• Prescribe Labelling
• All findings that have been raised during audit
shall be addressed in a span of five (5) working
days.
Records Turnover Procedure

• Transmittal of all records to be transferred

• Complete listing
• With coverage date
• Signed and verified by the Department Head.