Chapter 4

RESULTS AND DISCUSSION

This chapter presents the data gathered, its interpretation, and analysis of the
the survey, interview and on-site observations conducted on records officers and
custodians in all operating units in Quezon City Local Government. Hence, the study
aims to assess the records management practices of the Quezon City Local
Government, its compliance with similar provisions of ISO 15489 and RA 9470 toward a
development of a Business Continuity Plan (BCP).

Part I. Demographic Profile of the Respondents

Table 1
Office/ Unit of the Respondents

Office/ Unit Frequency Percent

DPOS 2 8.7
DRRMO 2 8.7
CGSD 19 82.6
Total 23 100

Table 1 presents the office/ unit of the respondent records officer in the Quezon
City Government. Out of the 23 records officers, 2 or 8.7 % of them work in the
Department of Public Order and Safety (DPOS). 2 or 8.7 % also work in Quezon City
Disaster Risk Reduction Management Office (DRRMO). And 19 or 82.6% work in the
City General Services Department (CGSD).
One of the task of the Quezon City Department of Public Order and Safety
(DPOS) is to undertake protective and disaster relief services. Specifically, the
Administrative Division of the DPOS is tasked to provide the department with
economical, efficient and effective services relating to personnel, records, supplies,
equipments, budgets and accomplishment reports. There is also a Disaster Control
Division under the same department which task is to undertake rescue and relief
operations as well as organize evacuation plans in times of disasters, calamities and
other civil disturbance. It conducts seminars, trainings and dry-runs on disaster
preparedness as addition to being responsible for continuous preparedness to such
disasters. Hence, under this division are those who work as records officer or custodian
to make sure that records or documents are being managed and stored well, most
importantly in preparation for such disasters.
Local Government Units are expected to be at the frontline of emergency
measures in the aftermath of the disasters to ensure the general welfare of its
constituents, as mandated by Local Government Code of 1991. Hence, Ordinance No.
SP-2290, s-2014, hereby mandated the LGUs for the creation of QC Risk Reduction
Management Office (QCDRRMO). In the QC, DRRM plan, it provides a road map on the
strategies that will help Quezon City enhance its capacity in facing the potential impacts
of a disaster. Moreover, the Quezon City DRRMP for 2014-2020 is the concluding output
of the twelve month in Building a Disaster Resilient Quezon City Project, specifying
policies, platforms, strategies, action plans and mechanisms pertaining to the
implementation and institutional basis of disaster risk reduction and management in
Quezon City.
City General Services Division (CGSD) on the other hand, manages the
acquisition, maintenance, safekeeping, utilization and disposal of the City Government's
properties, supplies, and real and movable assets. It also ensures the delivery of
effective, efficient and economical general services to the City Government and to its
constituents. One of its services is the safekeeping of City-owned land titles and other
such documents and records.

Table 2
Current Position of the Respondents in Local Government Units

Current Position in LGU Frequency Percent

Records Officer 10 43.5
Office Head 0 0
Administrative Officer 2 8.7
Others 11 47.8
Total 23 100
 Table 2 shows the positions of the respondents in their respective offices. 10 or
43.5% of the respondents are records officer; 2 or 8.7 % are administrative officer; and
there are other 11 positions or 47.8 % of the respondents who didn't indicated their
positions in the office.
As used in this study, records management refers to the managerial activities
involved with respect to 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. Local Government Unit officials and employees such as records
officers are thus responsible for the creation, storage, retrieval and disposal of all
recorded information about an organization's activities.
Moreover, records officers/ custodian as referred in this study are the ones
responsible for accurately, securely and effectively managing information received and
produced by a wide range of public and private sector organizations. In relation to that,
the post-custodial theory introduced by Henry (1998) shifts the role of the archivists from
a custodian of inactive records in a centralized repository to the role of a manager of
records that are distributed in the offices where the records are created and used. The
post-custodial theory provides the idea that archivists will no longer physically acquire
and maintain records, but they will provide management oversight for records that will
remain in the custody of the records creators.

Table 3
Respondents' Length of Service in LGU Before
Being a Records Officer/ Custodian

Length of Service in
Frequency Percent
LGU
1-3 years 5 21.7
4-6 years 1 4.4
7-9 years 4 17.4
10 years and above 13 56.5
Total 23 100
 Table 3 shows the respondents' length of service in the LGU before acquiring
positions as records officer or custodian. Out of 23 respondents, 5 or 21.7% have
worked for 1-3 years; 1 or 4.4% worked for 4-6 years; 4 or 17.4 % have worked for 7-9
years; and longest service are composed of 13 or 56.5 % of the respondents who
worked for 10 years and above.

Table 4
Length of Service as a Records Officer/ Custodian

Length of Service Frequency Percent

1-3 years 15 65.2
4-6 years 0 0
7-9 years 6 26.1
10 years and above 2 8.7
Total 23 100

Table 4 shows the length of service of the respondents as a records officer/

custodian. Majority or 15 of them equivalent to 65.2 % of the respondents are already in
service as a records officer/ custodian for 1-3 years now. It is followed by those who are
in the service for 7-9 years now which consist of 6 or 26.1% of the respondents. And
lastly, only 2 or 8.7% are already a records officer or custodian for 10 years and above.
The previous table provides that 5 of the respondents worked in the LGU for 1-3
years but 15 of them now managed to acquire positions as records officer/ custodian for
1-3 years. There are also 13 of the respondents who worked in the LGU for 10 years
and above but 2 of the respondents are now working as a records officer/ custodian. It
can easily be concluded from the derived data that most of them have been working in
the LGU longer compared to the length of their service as records officer or custodian
 Table 5
Highest Educational Attainment

Highest Educational
Frequency Percent
Attainment
Elementary Graduate 0 0
Vocational 4 17.4
College Graduate 13 56.5
Graduate Studies 6 26.1
Total 23 100

Table 5 shows the highest educational attainment of the respondents. Majority or 13

of them equivalent to 56.5% of the respondents attained College graduate. It is followed
by 6 or 26.1% of them who attained the graduate studies. The rest or 4 of them,
equivalent to 17.4 % have attained vocational studies.

Part II. RECORDS AND RECORDS MANAGEMENT TOOLS

Table 6
Percentages of the Records Formats of the
Office Being Manage by the Respondents

91% and
Records Formats 0.00% 1-30% 31-60% 61-90% Total
above
Frequency 2 4 0 6 11 23
Paper
Percent 8.7 17.4 0 26.1 47.8 100
Frequency 7 6 6 2 2 23
Electronic
Percent 30.4 26.1 26.1 8.7 8.7 23
Frequency 22 1 0 0 0 23
Microform
Percent 95.7 4.3 0 0 0 100

Table 6 shows the percentages of the records format of the respective office
they manage. For the use of paper, 11 or 47.8% of the respondents answered that they
they are using 91% it. It is followed by 6 or 26.1 of the respondents who answered that
they use 61-90 % paper as their record format. There are also 4 or 17.4 % of the
respondents who answered that they use 1-30% of paper formats. Lastly, the remaining
2 or 8.7% of the respondents who answered that they don't use paper at all.
For the use of electronic format, 7 or 30.4 % of the respondents answered that
they are not using electronic format at all. 6 or 26.1% of the respondents answered that
they are using 1-30% of electronic format and 6 or 26.1% of them also answered that
they are using 31-60% of it. Moreover, there are both 2 or 8.7% who answered that they
are using electronic format 61-90% and 91% and above, respectively.
Lastly, for the use of microform format, majority consisting of 22 or 95.7 % answered
that they are not using it at all and only 1 or 4.3 of the respondents who answered that
he is using 1-31% of the microform.
Information created, received and maintained is an evidence by an organization
or person in pursuance of legal obligations or in the transaction of business (ISO 15489).
Thus LGU executives and records staff must remember that records management is not
simply an additional administrative and financial burden. If used effectively, it can be a
tool for effective local government management, promoting accountability and protecting
citizens’ rights.
Electronic record is defined as numeric, graphic, or text information, that
satisfies the definition of a record, and that is recorded on any medium capable of being
read by a computer. Compared to paper records, electronic records use space much
more efficiently than paper records. For instance, a huge database may be stored on a
single compact disc but if its contents were printed off or created in a paper format, it
would be much more costly in terms of required storage. Moreover, electronically stored
records are more easily accessible than those stored on paper. Technologies such as e-
mail, facsimile and conference calling facilitate rapid transmission of documents and
information and enable quicker transaction of business.
 Table 7
Records Management Tools Being Used in the Office

Records Management
Checked Unchecked Total
Tools
Allocation of Frequency 14 9 23
number and code Percent 60.9 39.1 100
Masterlists of Frequency 8 15 23
Records Percent 34.8 65.2 100
Records Disposition Frequency 16 7 23
Schedule Percent 69.6 30.4 100
Record Management Frequency 7 16 23
Manual Percent 30.4 69.6 100
File Classification Frequency 12 11 23
Guide Percent 52.2 47.8 100
Records Frequency 14 9 23
Classification
Scheme Percent 60.9 39.1 100

Records Inventory Frequency 12 11 23

and Appraisal Percent 52.2 47.8 100
Security and Access Frequency 4 19 23
Guides Percent 17.4 82.6 100

Table 7 shows the records management tools used in the office. 14 or 60.9%.
of the respondents answered that they are using an allocation of number and code and 9
or 39.1% of the respondents who aren't. 8 or 34.8 answered that they are using
masterlists of records while there are 15 or 65.2% who don't. 16 or 69.6% answered they
are using a record disposition schedule while 7 or 30.4 % who aren't. 12 or 52,2%
answered that they are using a file classification guide while 11 or 47.8 answered that
they don't. 14 or 60.9 answered that they are using a records classification scheme while
9 or 39.1 who don't. 12 or 52.2 answered that they are using records inventory and
appraisal while 11 or 47.8 who don't. Lastly, there are 4 or 17.4 respondents who
answered that they are using security and access guides while 19 or 82.6% answered
that they don't.
 Table 8
Machine Records Processors

Machine Records Yes No Total

Processors Frequency Percent Frequency Percent Frequency Percent

Photocopying Machines 19 82.6 4 17.4 23 100

Microfilms 2 8.7 21 91.3 23 100
Computer 19 82.6 4 17.4 23 100
Scanners 18 78.3 5 21.7 23 100

Table 8 shows the Machine Records Processors used by the respondents in

their respective offices/ unit. Out of 23 respondents, 19 or 82.6 percent of the them
answered that they are using a photocopying machines; 2 or 8.7% of the total
respondents also answered that they are using a microfilms; 19 or 82.6 % of
respondents who also answered that they are using a computer; and lastly, 18 or 78.3 %
of the respondents answered that they are using scanners in their respective offices.
Table 8 shows the availability of the processors in the offices. In e-governance,
such equipment are being used on day-to-day operations in the offices.
Part III. Assessment of the Records Management Practices in the Quezon City
Local Government

A. Records Creation and Registration

Table 9
Types of Records Created and Maintained in the Office

Types of Records Created Checked Unchecked Total

and Maintained in the
Frequency Percent Frequency Percent Frequency Percent
Office
Administrative Issuances 21 91.3 2 8.7 23 100
Civil Registry Records 0 0 23 100 23 100
Financial Reports 4 17.4 19 82.6 23 100
Memorandum of
20 87 3 13 23 100
Agreement
Organizational Charts 21 91.3 2 8.7 23 100
Personnel Records 22 95.7 1 4.3 23 100
Policy and Procedure
21 91.3 2 8.7 23 100
Manuals
Program/Project Files 18 78.3 5 21.7 23 100
Revenue Files 18 78.3 5 21.7 23 100
Annual Reports 21 91.3 2 8.7 23 100
Contracts 20 87 3 13 23 100
Land Titles/Deeds 18 78.3 5 21.7 23 100
Ordinances or
18 78.3 5 21.7 23 100
Resolutions
Permits and Clearances 3 13 20 87 23 100
Photographs 3 13 20 87 23 100
Procedure Files 6 26.1 17 73.9 23 100
Research Files 5 21.7 18 78.3 23 100

Table 9 shows the types of records created and maintained in the office. Out of
23 respondents, majority of 22 or 95.7 % of the respondents have personnel records; 21
or 91.3 % of them have records of administrative issuances, organizational charts, policy
and procedure manuals, and annual reports; 20 or 87% of them have records of
memorandum of agreements, and contracts; 18 or 78.3 % of the respondents also have
program/ project files, revenue files, land titles/ deeds, and ordinances or resolutions. 6
or 26.1 % of the respondents also have procedure files; 5 or 21.7% of the respondents
have research files; 4 or 17.4 % of the respondents have financial reports; 3 or 13% of
the respondents also have permits and clearances, and photographs; and there were no
civil registry records at all in their respective offices.
Public records refers to records or classes of records, in any form, in whole or in
part, created or received 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 contained therein.
Local executives and other local decision-makers can benefit from records and
archives management as it enables them to: (1) retrieve information fast (productivity),
(2) avoid loss or misplacement of files (efficiency), (3) save on storage space and costs
of filing equipment and supplies (economy), (4) control the creation of new records and
avoid duplication of services (streamlining), (5) protect records vital to the LGU’s
existence and operations (accountability), and (6) comply with legal retention
requirements for public documents (transparency).
Moreover, in relation to the Records Continuum Model (RCM) developed by
Frank Upward (1990), a framework shall be established that acknowledges the central
role of record keeping activities on the creation, capture, organization and the ongoing
management of records over time and throughout spaces such as organizations and
institutional archives. In the RCM framework, records are understood as being part of a
continuum of activity related to known, as well as potentially unknown contexts, which
subsequently mean that records are part of a larger social, cultural, political, legal and
archival processes – which is the contexts that are vital to understanding the role, value
and evidential qualities of records in and across the past, the present and the potential
future
The study is also anchored in the Republic Act No. 9470, otherwise known as
the National Archives of the Philippines Act of 2007 and to ISO 15489 or the
international standard on records management. Both of it aims to have a sound record
management, strengthen the existing system of management of public records and
administration of government archives
 Table 10
If the Records Were Processed By Adding Notes on Index,
Access Conditions, Classification Guide, Disposition
Schedule and other Related Details

Answer Frequency Percent

Yes 21 91.3
No 2 8.7
Total 23 100

Table 10 shows whether the records were processed by adding notes on index,
access conditions, classification guide, disposition schedule and other related details in
records creation and registration. 21 or 91.3 % of the respondents answered positively
on the records process and 2 or 8.7 % indicated that they are not doing it.
Table 10 further shows the records creation in the respective offices of the
respondents. It is indeed important to have the records in order for the easier
accessibility of the records when needed.
All records, regardless of format and technological environment in which they
are collected, created or generated, should be captured into and maintained in an
identifiable and proper record keeping system. The purpose of capturing a record into a
record keeping system is to establish a relationship between the record, the creator and
the business context that originated it, and to link it to other records.

Table 11
Ways to Register Records

Ways to Register Checked Unchecked Total

Records Frequency Percent Frequency Percent Frequency Percent
Logbook System 20 87 3 13 23 100
Document Tracking
8 34.8 15 65.2 23 100
System
Computer-aided
20 87 3 13 23 100
System
Others 0 0 23 100 23 100
 Table 11 shows how the respective offices register their records. 20 or 87 % of
the respondents are using a logbook system and a computer-aided system while 8 or
34.8 % of the respondents are using a document tracking system.
It has come to the researcher's conclusion that the records officers are doing
one or more ways to register their records. In a much related sense, aside from logbook
system, they are also registering records via computer or electronics. It can be in a way
of converting the paper records to electronic records to secure the copy of records. As
the very aim of this study, Business Continuity Plan shall be used to create a system of
prevention and recovery of records when dealing with disasters that are unavoidable.
A sound records management is crucial to successful business continuity and vice
versa; without one, the other is jeopardized. Records management becomes critical for
successful business continuity. An organization's memory resides in its records. Aside
from facilitating the effective operation of an organization during its day-to-day
operations, in the event of a disaster, the information and knowledge embedded in an
organization's records is critical for the continued existence of the organization.
Organizations should therefore integrate their management system for records with their
business continuity management system as these two systems complement each other.
Furthermore, in accordance to the framework of the Business Continuity Plan
(BCP), Elliot et.al. (1999), provides that it is the process of creating systems of
prevention and recovery to deal with potential threats to a company. Moreover,
according to Berman (2015), business continuity professionals have been trained to deal
with a multitude of possibilities, creating plans that focus on the consequences of the
incidents and disasters. This allows organizations to better prepare for maintaining their
viability without trying to predict what the next event will be.
A Business Resumption Plan describes how to resume business after a
disruption. A Disaster Recovery Plan deals with recovering Information Technology (IT)
assets after a disastrous interruption. Both imply a stoppage in critical operations and
are reactive. BCP includes measures and arrangements to ensure the continuous
delivery of critical services and products, which permits the organization to recover its
facility, data and assets. It also includes identification of necessary resources to support
business continuity, including personnel, information, equipment, financial allocations,
legal counsel, infrastructure protection and accommodations.
Moreover, the records management processes in different stages of records life
cycle include records capture, registration, records classification, records storage,
access, tracking and disposal. According to their guidelines, a record is registered when
it is captured into the recordkeeping system, providing evidence that it has been created
or captured. In a paper-based system, a record captured into a file is registered through
entering such contextual information as the type of record (e.g. memo), date of record,
and name of originator/addressee(s) of the record on the file.

B. Records Classifications

Table 12
If Records Were Classified Immediately After Registration

Answer Frequency Percent

Yes 20 87
No 3 13
Total 23 100

Table 12 shows whether the records of the offices were classified immediately
after registration. Out of 23 respondents, 20 or 87 % of them indicated that they are
classifying documents immediately after registration while the remaining 3 or 13% of the
respondents answered that they are not doing it.
The above data provides a positive practice of records management as majority
of the respondents are having a practice of classifying records immediately after
registration.
Classification is the "systematic identification and arrangement of business
activities and/or records into categories according to logically structured conventions,
methods, and procedural rules represented in a classification system" (ISO 15489-1) to
Kim (2019), indexing of content or metadata is not sufficient for establishing the context
of records. Hence, classification is important because it can segregate records of value
from records of little or no value. While the value of certain information can be a
subjective matter and differs depending on the goals for seeking the particular
information, records classification helps narrow down places where reliable information
may reside.
Subsequently, it aids searchability. When there is a particular topic of records to
search but hardly any information other than a few keywords are provided, users initiate
the research by identifying classifications that may apply to that particular topic. When
records are filed properly and/or they are audited systematically by records managers,
the success rate for this methodology can be aimed high. Moreover, in a digital
environment, records relationships can be dynamic and can constantly grow. But with
the classification as the basis, users can utilize other metadata fields to create different
types of records context.

Table 13
If Color Coding Were Used to Classify Records
Upon its Creation or Registration

Answer Frequency Percent

Yes 16 69.6
No 7 30.4
Total 23 100

Table 13 depicts the way of classifying records through the use of color coding.
Out of 23 respondents who are record officers, 16 or 69.6% of them are using a color
coding scheme upon creation of records. The remaining 7 or 30.4 5% of respondents
stated that they are not using the scheme.
 Table 14
Classification of Records In the Office

Classification of Checked Unchecked Total

Records In the
Office Frequency Percent Frequency Percent Frequency Percent

By types of forms 19 82.6 4 17.4 23 100

By office or
4 17.4 19 82.6 23 100
institution
By subject or topic 17 73.9 6 26.1 23 100
By geographic
0 0 23 100 23 100
grouping
By date or
2 8.7 21 91.3 23 100
chronology
By number
0 0 23 100 23 100
category(code)

Table 14 shows the classification of records in their respective offices. Out of 23

respondents, 19 or 82.6% of them are classifying records by types of forms; 4 or 17.4 %
of them are classifying records by office or institution; 17 or 73.9% of them are also
classifying by subject or topic; 2 or 8.7% of the respondents are also classifying records
by date or chronology; and no one were classifying records by geographic grouping and
by number category or code.
The table further shows the positive attitude of the respondents who are records
officers to the use of classification system as majority of them are actually applying it in
their respective offices.
To facilitate a wide range of records management activities, including
identification, capturing and retrieval of records, security and access control as well as
disposal, records should be systematically organized according to records classification
schemes (also called file plans), which are plans for logical arrangement of records
according to one or more of the following: business functions, activities and contents of
the records. In general, a records classification scheme includes a coding system
expressed in symbols (e.g. alphabetical, numerical or alpha-numerical) to show the
logical relationship amongst the records. A records classification scheme should allow
modifications such as addition of new records series/groups to cater for changing
circumstances.
According to Hunter (2002), classification simply means the grouping together
of alike things according to common qualities or characteristics. Classification has
essential part to play especially in assisting in the search process. Hence, classifying
things into different segments enables us to retrieve things or information that we
needed to look for, without the risk of too much time consuming in retrieving that
particular things or information.
Moreover, when records and information are properly classified, a business
information system operates more efficiently. Classification tools guide users to the most
appropriate classification for individual records. (AS ISO 15489, Part 2, Clause 4.2.3.2.).
According to Mokhtar, classification relates to systematic arrangement of documents or
records according to the requirements of organizations, including libraries, archives,
government agencies, or private companies. Classification can thus guarantee the
continuity of business by ensuring that vital records are kept safe and organized.

Table 15
If Records Were Classified According to its Value

Answer Frequency Percent

Yes 23 100
No 0 0
Total 23 100

Table 15 shows whether the respective offices of the respondents are

classifying records according to its value. Out of 23 respondents, all of them answered
that they are classifying records according to its value.
Classifying records is important because we can segregate records of value
from records of little or no value. While the value of certain information can be a
subjective matter and differs depending on the goals for seeking the particular
information, records classification helps narrow down places where reliable information
may reside.
Moreover, the practice of classifying records, putting it in place is important
when it classified according to its value. For instance, it is important in the the vital
records containing information essential to the continued and effective operation of an
organization in the event of an emergency or a disaster e.g. a prolonged electricity
blackout, a serious flood, a blaze and an earthquake. Although an organization may take
precautionary measures to protect records from perils in their day-to-day operations,
even foolproof measures may not prevent damage to or loss of records when an
emergency or a disaster strikes. Therefore, vital records protection should be put in
place to reduce the risks of loss of records and to mitigate the possible adverse effects
on the operation of organizations during and immediately after an emergency or a
disaster. Vital records are specific to each organization having regard to its unique
functions and responsibilities.

C. Records Maintenance and Use

Table 16
Respondents Usage of Filing Manual in their Respective Offices

If Using a Filing
Frequency Percent
Manual
Yes 9 39
No 14 61
Total 23 100

Table 16 shows whether the respondents use a filing manual in their respective
offices. Out of 23 respondents, 9 or 39 % of them indicated that they use a filing manual
while 14 or 61% of them indicated that they aren't using a filing manual at all.
It further shows that majority of the respondents are not using a filing manual
and only a little of those who use.
Filing means keeping documents in a safe place and being able to find them
easily and quickly. Documents that are cared for will not easily tear, get lost or dirty. In
relation to that, the Records Continuum Model (RCM) developed by Frank Upward
(1990), is a framework that acknowledges the central role that record keeping activities
have on the creation, capture, organization and the ongoing management of records
over time and throughout spaces such as organizations and institutional archives.
A filing system, on the other hand, is the central record-keeping system for an
organization will indeed helps the records to be organized, systematic, efficient and
transparent. It also helps all people who should be able to access information to do so
easily. Accordingly, the value of the RCM is that it can help to map where on a continuum
record keeping activities are or can be placed. Creating a filing manual thus provides the
basis for a consistent program for records management that will become part of the
regular ongoing office routine.
Moreover, it is also anchored on Republic Act No. 9470, otherwise known as the
National Archives of the Philippines Act of 2007 which one of its aims is to mandate
government accountability to ensure that full and accurate records of the affairs of the
national and local government units are maintained and preserved, thus ensure
accessibility of public records and support the safekeeping of private records with
archival value. In relation to this, the objective of a filing system is to help the agency
create, review and maintain a systematized records filing system which will allow easy
retrieval and fast access to information on time.

Table 17
If the Retention/ Disposition of the Record
Were Identified Before Filing

Answer Frequency Percent

Yes 8 35
No 15 65
Total 23 100

Table 17 shows if the retention/ disposition of the records were identified before
filing. 8 or 35% of the respondents answered yes while 15 or 65% of the respondents
answered no.
Accordingly, “disposition” refers to the systematic sorting out of records in the
office storage whereby those classified as valuable records are permanently preserved
and those which are classified as valueless are disposed of. Hence, Sec, 16 of R.A. No.
9470, otherwise known as the National Archives of the Philippines Act of 2007 provides
the agency records disposition schedule. It is stated that all government offices,
including GOCCs shall prepare and submit a records disposition schedule in the
prescribed form, which upon approval by the executive director shall govern the
disposition of all the records of that government office.
 Table 18
Ways to identify the Retention/ Disposition of the Record

Ways to Identify the Checked Unchecked Total

Retention/
Disposition of the Frequency Percent Frequency Percent Frequency Percent
Records
By personal
1 4.3 22 95.7 23 100
assessment/ experience
By records disposition
22 95.7 1 4.3 23 100
schedule
By set of approved
22 95.7 1 4.3 23 100
rules/guidelines
others 0 0 23 100 23 100

Table 18 provides the ways to identify the retention/ disposition of the record in
the respective offices of the respondents. Almost all of the 23 respondents identify their
retention/ disposition of the record through disposition schedule and by set of approved
rules and guidelines, consisting of 22 or 95.7 % of the total respondents. Only 1 or 4.3
% of respondents uses personal assessment/ experience in disposition of records.
The table further provides that almost all of the respondents adheres to the law
in accordance to Sec, 16 of R.A. No. 9470, otherwise known as the National Archives of
the Philippines Act of 2007 which provides the agency records disposition schedule.
Also included in the act is the provision that the National Archives shall develop
a general records disposition schedule that shall prescribe the disposal of public records
common to all government offices. And no government department, bureau, agency and
instrumentality shall dispose of, destroy or authorize the disposal or destruction of any
public records, which are in the custody or under its control except with the prior written
authority of the executive director. ( Sec. 17 &18). The remaining 1 of the respondents,
however, uses a personal assessment in disposing a records, thus subjective.
 Table 19
Time Log in the Filing of Active Records

Time Log Frequency Percent

Daily 8 34.8
Weekly 2 8.7
Monthly 0 0
During free-time only 0 0
Others 13 56.5
Total 23 100

Table 19 provides the time log in the filling of active records in the respective
offices of the respondents. Out of 23 respondents, 8 or 34.8 % of them are having a
daily time log; 2 or 8.7% of them are having a weekly time log; and 13 or 56.5% of them
failed to elaborate their conduct of time log in the filing of active records.
An active record is a document or record that is undergoing processing and is
needed, and referred to frequently, in the daily operations of an organization. In
governmental or large firm usage, active records are those which are referred-to at least
once per month. Also called current record.

Table 20
Type of Copy Used as Working File During Day-to-Day Operations

Copy Used as Checked Unchecked Total

Working File During
Day-to-Day Frequency Percent Frequency Percent Frequency Percent
Operations
Hard Copy 22 95.7 1 4.3 23 100
Digital File Copy 17 73.9 6 26.1 23 100

Table 20 shows the type of copy used by the respondents in their respective
offices as a working file during day-to-day operations. Out of 23 respondents, 22 or
95.7% of them are using a hard copy in their day-to-day operations. On the other hand,
17 or 73.9% of the respondents are also using a digital file copy in their day-to day
operations.
 It can be depicted form the table above that the respondents are using both
hard copy and digital file copy in their day-to day operations but mostly dependent in
hard copies.

Table 21
Control Systems or Filing Aids When Locating or Retrieving Records

Control Systems or Checked Unchecked Total

Filing Aids When
Locating or Retrieving Frequency Percent Frequency Percent Frequency Percent
Records
Index Cards 2 8.7 21 91.3 23 100
Masterlists 3 13 20 87 23 100
Knowledge of the files 19 82.6 4 17.4 23 100
Inventory 18 78.3 5 21.7 23 100
Computer 20 87 3 13 23 100

Table 21 shows the control systems or filling aids when locating or retrieving
records. The highest numbers of respondents are using a computer in locating/
retrieving records, having a 20 or 87 % of respondents. Out of 23 respondents, 19 or
82.6% of them are also having a knowledge of the file when locating/ retrieving records.
Moreover, 18 or 78.3% of them are retrieving records through inventory. 3 or 13% of
them are using a masterlists and 2 or 8.7% of them are using an index cards in locating/
retrieving records.
D. Records Storage

Table 22
Storage of Records

Storage of Records Checked Unchecked Total

Steel Filing Frequency 21 2 23
Cabinets Percent 91.3 8.7 100
Wooden Filing Frequency 1 22 23
Cabinets Percent 4.3 95.7 100
Open Frequency 20 3 23
Shelves/Racks Percent 87 13 100
Frequency 22 1 23
Boxes
Percent 95.7 4.3 100
Electronics Frequency 15 8 23
Storage Devices Percent 65.2 34.8 100
Frequency 1 22 23
Others
Percent 4.3 95.7 100

Table 22 shows the storage of records used by the respondents in their

respective offices. Out of 23 respondents,22 or 95.7% are storing records in boxes; 21
or 91.3% of them are storing records in steel filling cabinets; 20 or 87% of them are also
storing records in open shelves/racks; 15 or 65.2% of them are also storing records in
electronic storage devices; 1 or 4.3 % of them are storing in wooden filing cabinets and
the other 1 or 4.3% have the other way around of storage.
The table depicts that majority of the respondents are storing records in boxes,
steel filing cabinets and open shelves/ racks compared to the electronic storage devices.
Concluded from here is that respondents are dependent in actual storage, using space
in the office and filling cabinets.
Records should be stored in such a manner so as to facilitate user access and
ensure that they are protected from unauthorized access, use, disclosure, removal,
deterioration, loss or destruction. An organization should lay down guidelines on the
storage of records including sensitive or classified records3. For records in paper form,
organizations should note that paper deteriorates rapidly in an environment of high
temperature and humidity. Furthermore, mould growth on paper can be a health hazard
to staff.
For storage of electronic records, the selection of storage media (e.g. optical
disc and tape), storage system, storage environment and handling procedures should be
based on records management and business considerations, e.g. volume and growth
rate of records, record security needs, retrieval requirements and preservation needs.
This is where records management becomes critical for successful business
continuity. An organization's memory resides in its records, thus necessity for its proper
storage. Aside from facilitating the effective operation of an organization during its day-
to-day operations, in the event of a disaster, the information and knowledge embedded
in an organization's records is critical for the continued existence of the organization.
Organizations should therefore integrate their management system for records with their
business continuity management system as these two systems complement each other.
The ISO standard for business continuity management, ISO 22313, ensures
that organizations are provided with a guideline for business continuity planning that
incorporates records management. This particular international standard will assist
organizations to design a business continuity management system that is appropriate to
its legal, regulatory, organizational and industry needs, but will also - beyond the IT and
risk management teams - require the involvement of records and information
management staff, helping to improve records and information management practices
through a process of continuous improvement. At the same time, implementing this
standard will necessitate a review of the role of the records manager from records
management alone to a more strategic one that has greater input into the company's
business continuity plan.

Table 23
If the Office Uses Digital Storage

Answer Frequency Percent

Yes 18 78.3
No 2 8.7
Considering 3 13
Total 23 100
 Table 23 shows if the office uses digital storage. Out of 23 respondents, 18 or
78.3% of them are using a digital storage; 2 or 8.7% of them are not using it; and lastly,
3 or 13 % of the respondents consider the fact of using a digital storage.
Although organizations may choose to institute a manual system, the
importance of electronic/ digital storage and retrieval systems lie in the fact that
electronic systems reduce storage space requirements and decrease equipment and
labor costs. In contrast, a manual system requires budgetary allotments for storage
space, filing equipment and administrative expenses to maintain an organized filing
system. Additionally, it can be significantly easier to provide and monitor internal controls
designed to deter fraud, waste and abuse as well as ensure the business is complying
with information privacy requirements with an electronic system.

Table 24
If in Place on Digital Storage

Checked Unchecked Total

Hardware and Frequency 18 5 23
Software Percent 78.3 21.7 100
Maintenance Frequency 3 23 23
Process Percent 13 87 100
Back-up Frequency 4 19 23
Systems Percent 17.4 82.6 100

Table 24 shows if the following are age on digital storage: hardware and
software; maintenance process; and back up systems. Out of 23 respondents, 18 or
78.3 % of them have placed hardware and software om digital storage. 3 or 13% of them
also placed the maintenance process in the digital storage. And lastly, 4 or 17.4% of
them placed their back-up systems on digital storage.
The table further shows that majority of the respondents are placing their
hardware and software and maintenance process on digital storage however, their back-
ups are not dependent on digital storage. The researcher therefor concludes that
majority are not reliant to digital storage for backups thus use another storage for back
ups.
 Table 25
Back-Up of Records

Do you have back-up Frequency Percent

of all your records?
Yes 7 30.4
No 16 69.6
Total 23 100

Table 25 shows whether the respondents have back ups of all their records. Out
of 23 respondents, only 7 or 30.4% of them has a backup on all their records and the
remaining 16 or 69.6% doesn't have all the back-ups of their records.
The table clearly depicts that majority of the offices of the respondents do not
have a back-up of all their records thus concluded that records will be compromised
when such disaster strikes. Furthermore, from the given details, it is easy to conclude
that their way of securing their records as preparations for such disasters is not enough.

Table 26
Storage of Back-Ups

Storage of Back-ups Checked Unchecked Total

Frequency 6 17 23
Offsite Storage
Percent 26.1 73.9 100
External Hard Frequency 20 3 23
Drives Percent 87 13 100
Frequency 17 6 23
Flash Drives
Percent 73.9 26.1 100
Frequency 13 10 23
DVDs/CDs
Percent 56.5 43.5 100
Online Frequency 0 23 23
Repositories Percent 0 100 100
External Frequency 2 21 23
Servers Percent 8.7 91.3 100
Frequency 1 22 23
Others
Percent 4.3 95.7 100
 Table 26 shows the storage of back ups of the respondents. Out of 23
respondents, 20 or 87% of them are storing their back ups in external hard drives. 17 or
73.9% of them are also storing in flash drives. 13 or 56.5% of them are also storing in
DVDs/CDs; 6 or 26.1% of them are storing in offsite storage; 2 or 8.7% of them are
storing in external servers; and lastly, 1 or 4.3% is storing in other form of storage of
back-ups, in which he didn't indicated.
When we think of it, hard copies are more vulnerable to destruction as records
are made mostly by papers. Their back-ups on the other hand, are stored mostly in
external hard drives and flash drives, and previous data presents that they don't have a
sort of back-ups in digital storage. As discussed in this paper, records are always
potentially at risk of hazards, emergencies and disasters. Being situated along the
typhoon belt in the Pacific, the Philippines stands as one of the most disaster prone
areas in the world. According to the Asian Disaster Reduction Center (ADRC), at least
twenty (20) typhoons every year visited the Philippine Area of Responsibility (PAR) and
five (5) of which are destructive. Indeed, there are many instances and occurrences of
fortuitous events that led to the loss and destruction of public records, such as the
typhoon Yolanda (international name is Haiyan) that struck the LGLGUsn Visayas
regions on November 2013, especially the Tacloban City, where most of regional
government offices are seated. It had been a great challenge for the local government
officials and employees to continue with their business and resume to normal
operations, since majority of their public records were lost or destroyed due to the deadly
and destructive storm surge.
Not only the typhoons and the earthquake can be a threat to the Quezon Local
Government because they are also susceptible to other types of disasters, such as fire.
In fact, the Quezon City Hall was hit by a fire twice – the first incidence occurred on June
16, 1988 and the second, on May 7, 2009. Moreover, per news articles published online,
there were records of fire incidences in other city halls, such as the Malabon City and
Muntinlupa City and even in other municipal halls in Visayas and Mindanao regions.
In view of these threats, the researcher perceives the need to assess the
records management practices of the Quezon City Local Government. Hence, the need
to develop Business Continuity Plan (BCP). It is a plan to help ensure that government
and business processes can continue during a time or emergency or disaster, which
may include a fire, earthquake, or any other case where business is not able to occur
under normal conditions. It is composed of planned activity to be performed by the
agency on the following components:
Also anchored in this study is the Records Continuum Model (RCM) developed
by Frank Upward (1990) wherein, records are understood as being part of a continuum
of activity related to known, as well as potentially unknown contexts, which subsequently
mean that records are part of a larger social, cultural, political, legal and archival
processes – which is the contexts that are vital to understanding the role, value and
evidential qualities of records in and across the past, the present and the potential
future.

E. Records Disposition

Table 27
If files were Inventoried to Determine
Retention Period or Disposition

Answer Frequency Percent

Yes 22 95.7
No 1 4.3
Total 23 100

Table 27 shows whether the files are inventoried to determine retention period
or disposition. Out of 23 respondents, 22 or 95.7% of them indicated that files were
inventoried to determine period of retention. The remaining respondent or 4.3 % of the
total respondents indicated that the files in his office were not inventoried to determine
disposition.
According to the Federal National Archives, in records management, an
inventory is a descriptive listing of each record series or system, together with an
indication of location and other pertinent data. It is not a list of each document or each
folder but rather of each series or system. Its main purpose is to provide the information
needed to develop the schedule. It also helps identify various records management
problems. These include inadequate documentation of official actions, improper
applications of recordkeeping technology, deficient filing systems and maintenance
practices, poor management of non record materials, insufficient identification of vital
records, and inadequate records security practices. When completed, the inventory
should include all offices, all records, and all non record materials. An inventory that is
incomplete or haphazard can only result in an inadequate schedule and loss of control
over records.
On the other hand, the disposition schedule as linked in the inventory, is the
heart of an effective records disposition program, and it is based on information gathered
during the inventory process. The more systematic and complete the inventory, the
better the schedule is likely to be. Moreover, inventorying is useful not only in developing
the schedule but also in ensuring that it is applied properly and kept up-to-date.
Regardless of the agency's size, the inventory can help make the schedule.
Moreover, in the Philippines, disposition process adheres to Sec, 16 of R.A. No.
9470, otherwise known as the National Archives of the Philippines Act of 2007 which
provides the agency records disposition schedule. Included in the act is the provision
that the National Archives shall develop a general records disposition schedule that shall
prescribe the disposal of public records common to all government offices. And no
government department, bureau, agency and instrumentality shall dispose of, destroy or
authorize the disposal or destruction of any public records, which are in the custody or
under its control except with the prior written authority of the executive director. ( Sec. 17
&18)

Table 28
Frequency of Conducting Inventory of Records

Frequency of Conducting
Checked Unchecked Total
Inventory of Records
Frequency 16 7 23
Semi-annually
Percent 69.6 30.4 100
Frequency 4 19 23
Annually
Percent 17.4 82.6 100
Every After Two (2) Frequency 0 23 23
Years Percent 0 100 100
Frequency 0 23 23
During free-time only
Percent 0 100 100
Frequency 2 8.7 23
Others
Percent 21 91.3 100
 Table 28 shows the frequency of conducting inventory of records. Out of 23
respondents, 16 or 69.6% of them conducts the inventory semi-annually; 4 or 17.4% of
them conducts annually; and there are 2 or 21% of respondents who didn't elaborated
their frequency of conducting inventory records.
According to the Federal National Archives, in records management, an
inventory is a descriptive listing of each record series or system, together with an
indication of location and other pertinent data. It is not a list of each document or each
folder but rather of each series or system. Its main purpose is to provide the information
needed to develop the schedule. It also helps identify various records management
problems. These include inadequate documentation of official actions, improper
applications of recordkeeping technology, deficient filing systems and maintenance
practices, poor management of nonrecord materials, insufficient identification of vital
records, and inadequate records security practices. When completed, the inventory
should include all offices, all records, and all nonrecord materials. An inventory that is
incomplete or haphazard can only result in an inadequate schedule and loss of control
over records.
The disposition schedule as linked in the inventory, is the heart of an effective
records disposition program, and it is based on information gathered during the inventory
process. The more systematic and complete the inventory, the better the schedule is
likely to be moreover, inventorying is useful not only in developing the schedule but also
in ensuring that it is applied properly and kept up-to-date. Regardless of the agency's
size, the inventory can help make the schedule comprehensive, clear and current.
Sec, 16 of R.A. No. 9470, otherwise known as the National Archives of the
Philippines Act of 2007 provides the agency records disposition schedule. Also included
in this act are the provisions that the National Archives shall develop a general records
disposition schedule that shall prescribe the disposal of public records common to all
government offices; and no government department, bureau, agency and instrumentality
shall dispose of, destroy or authorize the disposal or destruction of any public records,
which are in the custody or under its control except with the prior written authority of the
executive director. ( Sec. 17 &18)
 Table 29
Schedule Being followed in Retaining or Disposing Records

If There is a Schedule Being

followed in Retaining or Frequency Percent
Disposing Records
Yes 1 4.3
No 22 95.7
Total 23 10

Table 29 shows if the respondents have a schedule being followed in disposing

records. Out of 23 respondents, 22 or 95.7% of them indicates that they dont have a
disposition schedule and only 1 or 4.3% of the respondents who has a dispositions
schedule being followed.
As indicated in the previous data, they are inventorying first to determine their
dispositions thus, they are not really following or dont have a schedule of dispositions.
However, provided in Sec 16 of R.A. No. 9470, otherwise known as the National
Archives of the Philippines Act of 2007 that all government offices, including GOCCs
shall prepare and submit a records disposition schedule in the prescribed form, which
upon approval by the executive director shall govern the disposition of all the records of
that government office. Moreover, Sec, 17 of the same act provides that National
Archives shall develop a general records disposition schedule that shall prescribe the
disposal of public records common to all government offices.
 Table 30
Practices in Records Retention

Practices in Records Retention Checked Unchecked Total

•Retaining information concerning
the past and present decisions as Frequency 18 5 23
part of the institutional memory and
information about decisions and
activities in the present and in the Percent 78.3 21.7 100
future
• Retaining evidence of the past Frequency 20 3 23
and present activities to meet
accountability obligations Percent 87 13 100
• Eliminating as early as possible
and in an authorized and Frequency 4 19 23
systematic manner, records which
are no longer required for the
operations and activities of the Percent 17.4 82.6 100
office
• Retaining the context of the
records which will enable future Frequency 3 20 23
users to judge the authenticity and
reliability, even in cases where
records systems in which they are
retained have undergone significant Percent 13 87 100
changes
• Identifying the enforceable or
legitimate interest that stakeholders Frequency 1 22 23
may have in preserving the records
for longer than they are required by Percent 4.3 95.7 100
the office itself
• Identifying and assessing legal,
financial, political, social or other Frequency 1 22 23
positive gains for preserving
records to serve the interest of Percent 4.3 95.7 100
research and the society

Table 30 shows the practices in records retention. Out of 23 respondents, 18 or

17.83% of them indicated that their office is 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. There are also 20 or 87 % of
respondents who agreed that their office is retaining evidence of the past and present
activities to meet accountability obligations. Moreover, there are only 4 or 17.4 5
respondents who agreed to eliminate as early as possible and in an authorized and
systematic manner, the records which are no longer required for the operations and
activities of the office. There are also 3 or 13% of them who agreed that 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. Also, there is 1 or 4.3% of respondents who identifies
the enforceable or legitimate interest that stakeholders may have in preserving the
records for longer than they are required by the office itself. And lastly, there is 1 or 4.3%
who agree to identify and assess legal, financial, political, social or other positive gains
for preserving records to serve the interest of research and the society.
In contrast to disposition schedule, a records retention schedule is a policy that
defines how long data items must be kept and provides disposal guidelines for how data
items should be discarded. Records retention schedules, are determined by the record
type and the business, legal and compliance requirements associated with the records.
Retention schedules establish guidelines regarding how long important information must
remain accessible for future use or reference, as well as when and how the records can
be destroyed when it is no longer needed.
Moreover, the retention schedules are determined based on data type and
ownership, and consider aspects such as the data's business value and associated to
regulatory compliance mandates. They often outline the business reason for retaining
specific records, and designate what should be done with the data when it is eligible for
disposal. As data volumes continue to grow at many businesses, records retention
schedules can also help reduce records management and storage costs by disposing of
data no longer relevant to business processes.
 Table 31
Person Authorized for the Disposition of Records

Department Records
Person Authorize Mayor
Head Custodian
Total

• Develops and Frequency 1 17 5 23

coordinates the records
disposition plans/ Percent 4.3 73.9 21.8 100
schedules

• Gives consent to Frequency 0 20 3 23

dispose records Percent 0 87 13 100
•Identifying records to Frequency 0 2 21 23
dispose Percent 0 8.7 91.3 100
•Identifying records to Frequency 0 3 20 23
retain Percent 0 13 87 100

Table 32
Frequency in Disposing Valueless Records

Frequency in Disposing
Frequency Percent
Valueless Records
Semi- Annually 0 0
Annually 1 4.3
Upon Request of
22 95.7
Concerned Units
Total 23 100

Table 33
If there is an Established Guidelines on Transfer/
Custody of Ownership of Records

If there is an Established Guidelines

on Transfer/ Custody of Ownership Frequency Percent
of Records
Yes 20 87
No 3 13
Total 23 10
 Table 34
If there are Policies and Procedures for the
Preservation and Retention of Records

If there are Policies and

Procedures for the Preservation Frequency Percent
and Retention of Records
Yes 20 87
No 3 13
Total 23 10

F.Business Continuity

Table 35
If there is an Existing Plan For Recovery In Case of Disasters

If there is an Existing Plan For Frequency Percent

Recovery In Case of Disasters
Yes 3 13
No 20 87
Total 23 100

Table 36
Filing and Maintaining Vital Records

Filing and Maintaining Vital Records Checked Unchecked Total

• Filed in a separate Frequency 18 5 23
and secured filing
cabinet Percent 78.3 21.7 100
• Mixed with other files Frequency 18 5 23
but are properly
labelled/tagged Percent 78.3 21.7 100
Frequency 1 22 23
Others
Percent 4.3 95.7 100
 Table 37
Back-Up of Vital Records

Answer Frequency Percent

Yes 18 78.3
No 5 21.7
Total 23 100

Table 38
Back-Up of Vital Records Storage

Back-Up of Vital Records Storage Checked Unchecked Total

Off-site Storage Frequency 0 23 23
Percent 0 100 100
Frequency 4 4 23
Digital Back-up
Percent 17.4 82.6 100
External Hard Frequency 18 78.3 23
Drives Percent 5 21.7 100
Frequency 16 7 23
Flash Drives
Percent 69.6 30.4 100
Frequency 1 4.3 23
DVDs/CDs
Percent 4.3 95.7 100
Frequency 0 23 23
Online Repositories
Percent 0 100 100
Frequency 0 23 23
External Servers
Percent 23 100 100
Frequency 2 21 23
Others
Percent 8.7 91.3 100
 Table 39
Authority to Access the Vital Records

Checked Unchecked Total

City Mayor Only Frequency 0 23 23
Percent 0 100 100
Frequency 16 7 23
Department Heads
Percent 69.6 30.4 100
Frequency 19 82.6 23
Record Officers
Percent 4 17.4 100
Authorized Frequency 15 65.2 23
Employees Percent 8 34.8 100
List of Question to Determine Readiness in all Phases of Disaster Preparedness

Table 40
Disaster Prevention in the Office

Verbal Expression
DISASTER 1- 4- Verbal
2- 3- Mean
PREVENTION Strongly Strongly Interpretation
Disagree Agree
Disagree Agree
1. I am aware of all possible
hazards/risks that posed
0.000 0.000 0.261 0.739 3.74 SA
threats or damage to our
official and public records.
2. The likelihood of
occurrence of
0.043 0.000 0.870 0.087 3 Agree
hazards/disasters in our office
can be easily determined.
3. There is an incidence of
past disasters/emergencies
0.739 0.130 0.130 0.000 1.39 SD
that damaged our official and
public records.
4. Our office conducts risk
0.000 0.087 0.261 0.652 3.57 SA
assessment regularly.
5. Our office has updated
action plan to reduce or
remove the possible 0.000 0.043 0.870 0.087 3.04 A
risks/threats of damaged to
records.
6. There is a staff responsible
for monitoring the temperature
0.000 0.217 0.214 0.055 2.87 A
and humidity and electrical
connections in our office.
7. There is a staff responsible
for monitoring possible water 0.000 0.130 0.217 0.652 3.52 SA
leaks in our office.
8. There are functional
emergency lights within our 0.000 0.043 0.130 0.826 3.78 SA
office premises.
9. There is an updated
evacuation plans in each 0.000 0.000 0.174 0.826 3.83 SA
office/departments of the LGU.
10. Our office has a written
policy/guidelines/procedures
0.13043 0.869565
pertaining to prevention 0 0 3.87 SA
4783 217
measures for various types of
emergencies/disasters.
Weighted Mean 3.261 SA
 Table 41
Disaster Preparation in the Office

Verbal Expression
DISASTER 1- 4- Verbal
2- 3- Mean Interpretation
PREPARATION Strongly Strongly
Disagree Agree
Disagree Agree
1. Our office has updated
priority list of records with
indicated specific locations,
0.000 0.087 0.174 0.739 3.65 SA
to easily identify which to
records to salvage in times
of emergency/disaster.
2. Our office has
established and functional
0.000 0.000 0.130 0.870 3.87 SA
Disaster/ Emergency
Response Team (D/ERT).
3. The composition of our
D/ERT are regularly 0.000 0.000 0.217 0.783 3.78 SA
reviewed and updated.
4. The roles of each
member of our D/ERT are 0.000 0.000 0.217 0.783 3.78 SA
clearly defined.
5. Members of our D/ERT
are given with proper
trainings/seminars/drills 0.000 0.000 0.174 0.826 3.83 SA
regarding disaster
preparation
6. Our office has updated
registry of volunteers to
0.000 0.000 0.174 0.826 3.83 SA
contact in times of
emergency/disaster.
7. Volunteers are also
provided with regular 0.000 0.000 0.174 0.826 3.83 SA
trainings.
8. There is an updated
directory of emergency
0.000 0.000 0.174 0.826 3.83 SA
contacts (police, fire brigade,
etc.) available in our office.
9. Our office has a
designated emergency bags
0.000 0.826 0.174 0.000 2.17 D
containing vital records of
the LGU.
10. Our office maintained
contacts with outside
0.000 0.739 0.174 0.652 2.35 D
support (such as RAN, NAP
and other experts).
Weighted Mean 3.492 SA
 Table 42
Disaster Response in the Office

Verbal Expression
DISASTER 1- 4- Verbal
2- 3- Mean Interpretation
RESPONSE Strongly Strongly
Disagree Agree
Disagree Agree

1. Our office keeps a written

and updated disaster
response plan which includes
the composition of the D/ERT,
emergency responses, 0.000 0.000 0.174 0.826 3.83 SA
emergency contacts,
telephone tree, floor
plan/electrical plan, disaster
bin and collection priority list.
2. There is a written
procedural actions to be taken
by the D/ERT for a fast and 0.000 0.000 0.217 0.783 3.78 SA
effective response to
emergency.
3. The directory of
emergency contacts
personnel are readily 0.000 0.000 0.217 0.783 3.78 SA
available in each operating
units of the LGU.
4. The location of special
danger areas, fire
extinguishers, main electricity
0.000 0.000 0.174 0.826 3.83 SA
switches, exits and main
evacuation points are clearly
marked in the floor-lay out
5. Lay-out of records
shelving and the location of
0.739 0.087 0.087 0.087 1.52 SD
priority records are clearly
illustrated in the floor lay-out.
Weighted Mean 3.348 SA
 Table 43
Disaster Recovery in the Office

Verbal Expression
DISASTER 1- 4- Verbal
2- 3- Mean Interpretation
RECOVERY Strongly Strongly
Disagree Agree
Disagree Agree
1. Our office has available
disaster bins placed in an 0.000 0.000 0.217 0.783 3.78 SA
accessible area.
2. The staff our
knowledgeable on the basic
0.739 0.130 0.130 0.000 1.39 SD
salvage operations to damaged
records.
3. In the evacuation site, there
is designated place where to
0.739 0.130 0.130 0.000 1.30 SD
perform the recovery
procedures.
4. Our office has a written
manual of operations for 0.783 0.174 0.043 0.000 1.39 SD
records recovery.
5. Our office has available
supplies/equipment needed to
0.783 0.174 0.043 0.000 1.26 SD
perform records recovery in
case of emergency/disaster.
Weighted Mean 1.824 D
G.Compliance to similar Provisions of ISO 15489 and RA 9470
Table 44
Compliance to Similar Provisions of ISO 15489 and RA 9470

Verbal Expression
Provisions of ISO 15489 1- 2- 3- 4- Verbal
Mean Interpretation
and RA 9470 Poorly Slightly Moderately Mostly
Complied Complied Complied Complied
1. Has an official records/archives
office/unit approved by NAP and DBM
0.043 0.043 0.174 0.739 3.61 MosC
2. Has appointed qualified records
officer/archivist
0.043 0.000 0.087 0.870 3.78 MosC
3. Constituted a Records Management
Improvement Committee (RMIC)
0.000 0.087 0.043 0.870 3.78 MosC
4. Established a records management
program
0.000 0.087 0.043 0.870 3.83 MosC
5. Has manuals of instructions/operations
on records management
0.000 0.000 0.130 0.870 3.87 MosC
6. Established centralized receiving
/releasing and messengerial units under 0.000 0.000 0.087 0.913 3.91 MosC
the accountability of records officer
7. Has prescribed file classification system
for uniform filing system
0.000 0.000 0.087 0.913 3.91 MosC
8. Storage areas allocated to hold physical
records have adequate space to 0.043 0.000 0.087 0.870 3.78 MosC
accommodate anticipated growth
9. Has established Agency Storage/Mini
Archives for non-current records 0.043 0.043 0.043 0.870 3.74 MosC
preparatory their transfer to NAP
10. Has rules in the proper turn-over of
records to successor/ NAP
0 0.09 0.13 0.78 3.7 MosC
11. Separation of records for disposal from
those for further retention as suggested by 0.000 0.043 0.130 0.826 3.78 MosC
NAP
12. Uses Records Disposition Schedule
(RDS) approved by NAP or General
Records Disposition Schedule (GRDS) for
0.739 0.043 0.043 0.174 1.65 PC
LGUs
13. Has a disaster recovery plan for
records
0.043 0.087 0.870 0.000 2.83 ModC
14. Has an approved records inventory
and appraisal schedule, at least once a 0.000 0.087 0.783 0.130 3.04 ModC
year
15. Conduct periodic examination of
records at least once a year to identify 0.000 0.043 0.870 0.087 3.09 ModC
valueless records for disposal
16. Has necessary back-up systems for
records
0.043 0.000 0.913 0.043 2.96 ModC
17. Has preservation program for archival
records
0.043 0.043 0.913 0.000 2.87 ModC
18. Has records preservation and
restoration procedures as consulted with 0.043 0.174 0.783 0.000 2.74 SC
NAP
19. Records Management Training is
included in the organization’s Education, 0.000 0.043 0.783 0.174 3.133 ModC
Training and Development Plan
20. Has recently sent records personnel to
a training
0 0.043 0.783 0.174 3.13 ModC
 M
os
tly
Weighted Mean 3.357 Co
m
pli
ed
IV.Problems Encountered in Records Management

Table 45
Common Problems Encountered in Records Management

Verbal Expression
Common Problems
1- 4- Verbal
Encountered in 2- 3- Mean
Interpretation
Strongly Strongly
Managing Records Disagree Agree
Disagree Agree
1. Misfiled 0.000 0.130 0.870 0.000 2.87 A
documents/records
2. Missing or lost 0.783 0.043 0.174 0.000 1.39 SD
documents/records
3. Misrouted 0.739 0.087 0.174 0.000 1.43 SD
documents/records
4. Difficulty in
retrieving/accessing of 0.783 0.087 0.043 0.087 1.43 SD
documents/records
5. Skills of the staff 0.087 0.087 0.652 0.174 2.91 A
6. Hostile records 0.652 0.130 0.130 0.087 1.65 SD
managers/staff
7. Absence of a
standard 0.826 0.087 0.043 0.043 1.3 SD
practice/policy/guideline
8. Delay in providing 0.870 0.087 0.043 0.000 1.17 SD
requested records.
9. Inadequate space/ 0.130 0.043 0.043 0.783 3.48 SA
records storage
10. Lack of
machine/device records 0.739 0.13 0.043 0.087 1.48 SD
processors
Weighted Mean 1.911 Agree
 Table 46
Common Difficulties Experienced in Storage
and Retrieval of Records

Verbal
Verbal Expression Interpreta
Common difficulties tion
experienced in storage 1- 4- Mean
and retrieval of records Strongly 2- 3-
Strongly
Disagree Agree
Disagree Agree
1. Misfiled 0.870 0.043 0.087 0.000 1.22 SD
documents/records
2. Missing or lost 0.783 0.130 0.087 0.000 1.23 SD
documents/records
3. Misrouted 0.087 0.087 0.087 0.739 3.48 SA
documents/records
4. Difficulty in
retrieving/accessing of 0.870 0.043 0.087 0.000 1.22 SD
documents/records
5. Skills of the staff 0.739 0.217 0.043 0.000 1.35 SD
Strongl
y
Weighted Mean 1.7
Disagre
e
Part V. Recommendation for the development of Business Continuity Plan

Recommendations
Offsite Storage
Offsite storage for vital records
appropriate training to personnel
Offsite Storage
training for record recovery
no idea at the time of interview
trainings, seminar and workshops
support from the chief executive
more plan and exert effort
coordination from the top management to the ground
modernization of equipment
there should be a huge space to store all records for safekeeping until their life span.
the establishment of an archival center is urgently needed
archival center or control records depot
needs directive from the chief executive with consideration and coordination
Additional References

Alan Berman (March 9, 2015). "Constructing a Successful Business Continuity Plan".

Business Insurance Magazine.

Elliot, D.; Swartz, E.; Herbane, B. (1999) Just waiting for the next big bang: business
continuity planning in the UK finance sector. Journal of Applied Management Studies,
Vol. 8, No, pp. 43–60. Here: p. 48.

Hunter, Eric. (2002), Do we still need classification? in "Future of classification",

http://images.lib.monash.edu.au/ims2102/04117080.pdf

Kim, Ellie. (2019). The Importance of Record Classification & Tips for Improving Filing
Accuracy. Collabware

Lohrey, Jackie. (2019). The Importance of Information Storage & Retrieval Systems in an
Organization Chron

Overview of Classification Tools for Records Management. (2003). National Archives of

Australia