Module 1 - 6 ELECTRPM

EULOGIO “AMANG” RODRIGUEZ
INSTITUTE OF SCIENCE AND TECHNOLOGY

COLLEGE OF BUSINESS AND PUBLIC ADMINISTRATION
PUBLIC ADMINISTRATION UNIT
RECORDS AND
PROPERTY MGMT
ELECTRPM
Module 1
TABLE OF CONTENTS
Module 1: The Field of Records Management

• Introduction: Information Growth
• Records Management
• How does Records Management differ from Document Management
• Benefits of Records Management
• Records Classification
• Classification by Use
• Classification by Place of Use
• Classification by Value of the Record to the Organization
• Establishing a Policy Framework
• Policy and Governance Framework of Records Management
• Regulatory References
• ISO 9001:2008, “Quality Management Systems-Requirements”,
International Organization for Standardization (ISO), Nov., 2008.
• ISO 15489:2016, “Information and Documentation – Records
Management”, International Organization for Standardization
(ISO).
• ISO 5127:2017, Information and Documentation – Vocabulary
• ISO 14001:2015, Environmental Management Systems –
Specification with guidance for use.
• International Council of Archives (ICA)
• Statutory References
• Republic Act No. 9470, National Archives of the Philippines Act of
2007
• Republic Act No. 10066, National Cultural Heritage Act of 2009
• National Archives of the Philippines (NAP)
• Republic Act No. 8792, Electronic Commerce Act
ELECTRPM – Records and Property Management | Module 1 | Ms. DIANA P. DELA CRUZ 2
• Local Government Code of 1991, Sec. 374. Establishing of an
Archival System
Module 2: Electronic Records Management – Key Concepts

• Definition of Government Records
• Qualities of a Records
• Importance of Identifying Vital Records
• Electronics Records: Challenges and Needs
• Hybrid Records Management Environment
• Electronic Recordkeeping System and its Benefits
• Information Technology Requirements
• Trends in Electronics Records Management and Info Management
Module 3: Records and Archives Management Program

• Records Management Chain (Life Cycle of Records)
• Common Problems in Records System
• Security of Records
• Significance of Records Security
• Security Requirements
• Hazards to the Security of Records
• Preservation
• Understanding and Responding to Hazards
• Supplemental Security Chain
• Factors in Determining the Existence of a Reasonable Doubt on the
Loyalty or Integrity of an Employee
Module 4: Records Creation and Control

• Concepts/Guides in the Control of Creating Records
• Major Fields in Records Creation
• Directives/Instructions Management
• Correspondence Management
• Forms Management
• Report Management
Module 5: Files Management

• Files Management Defined
• Important of Files
• Organizing Files
• Major Operations of Files Management
• Kinds of Filing System
Module 6: Records Retention and Disposition

• Records Storage, Inventory and Retention Program
• Records Disposition Programs
• Objectives and Requisites of a Records Disposition
Program
• Benefits of a Records Disposition Program
• Activities in Records Disposition Program
Module 7: Basic Principles in Property Management

• Overview
• General Principles
• Legal Framework
• Property Management
Module 8: Acquisition of Government Property

• Procurement
• General Procedures in Procurement
• Procurement of Common-Use Supplies, Materials and
Equipment through DBM-Procurement Service
• Procurement Through Competitive Bidding
• Procurement Through Alternative Modes
• Other Modes of Acquisition
Module 9: Utilization of Government Property

• Overview
• Custodianship
• Accountability, Responsibility and Liability for Government
Property
• Bonding of Accountable Officers
• Inventory Taking
• Insurance of Government Property
• Loss of Government Property
• Procedure/Requirements for Relief from Accountability
• Delivery, Inspection and Acceptance
• Storage, Warehousing and Inventory-Taking
• Issuance and Utilization
• Utilization of Common Facilities and Equipment
Module 10: Disposal of Government Property

• Overview and Basic Concepts
• Definition of Terms
• Factors, General Procedures and Modes of Disposal
• Property under Distraint/Levy/Garnishment
• General Procedures on Disposal
• Modes of Disposal
• Composition of Disposal Committee
• Property Appraisal
• Preliminary Documentation
• Inspection Process
• Depreciation for Property/Equipment
• Reference Price Information in Appraisal
• Guidelines and Principles in the Determination of the
Appraised Value
• Guidelines in Observing Conditions of Property
• Formula on Appraisal of Government Property except Real
Property
• When Property is Still Operational, Functional or can be
Repaired
• Adjustment of Appraised Value when Auction Bids are Low
• Setting of Minimum Value
 TARGET LEARNING OUTCOMES
This module emphasizes the importance of the study and
application of records management systems and its importance
and benefits to different organizations. Students are expected
to be able to:
1. Discuss the challenges of the information explosion to records managers;

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

oday’s workers are increasing their use of
T information. This time in our history is frequently

called the Information Age. Computers, so much a part of
today’s world, play a key role in information systems and
the development of a knowledge-based economy.
Did you know that the amount of new information in the world has almost tripled in the
past three years? Think of how much new information is generated and transmitted every
day in newspapers, on radio and television, through the Internet via electronic mail, wikis,
tweeting, webinars, video blogs or podcasts, social media sites, and through text
messaging and phone calls. It is hard to quantify how much information comes and goes
from all the listed sources! You could say that the world is in the middle of an information
explosion in the Information Age.
The proliferation of information, recent legislation, and storage of information all contribute
to a growing problem for individuals, organizations, institutions, government, businesses,
and countries: How is information managed to meet the needs of the people who need
it? With so much information produced daily, how is specific information accessed when
needed? Records and information management involves organizing information for
retrieval.
LESSON 1: Records Management

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

of all records from their creation or receipt,
through their processing, distribution,
organization, storage, and retrieval, to their
ultimate disposition. Because information is
such an important resource to organizations, the
records management function also includes information management. Therefore, records
management is also known as records and information management (RIM).
The ISO-14589 definition for Records Management is as follows: "Records Management

is the field of management responsible for the efficient and systematic control of the
creation, receipt, maintenance, use, and disposition of records, including the processes
for capturing and maintaining evidence of and information about business activities/
service delivery and transactions in the form of records."
While Records Management is a vital tool for companies and government to address
governance, compliance, and retention requirements, the benefits of Records
Management go beyond government regulations. For example, the use of Records
Management improves a company's/organizations overall data management processes,
particularly in the areas of data security and data access.
Records management is not new. Records

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

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

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

records management. ARMA
International (an association for
information management professionals)
defines a record as stored information,
regardless of media or characteristics,
made or received by an organization that
is evidence of its operations and has value requiring its retention for a specific period of
time.
ISO 15489 defines a record as information created, received, and maintained as

evidence and information by an organization or person, in pursuance of legal obligations
or in the transaction of business.
According to Republic Act No. 9470 (National Archives of the Philippines Act of 2007),
record refers to information, whether in its original form or otherwise, including
documents, signatures, seals, texts, images, sounds, speeches, or data compiled,
recorded, or stored, as the case may be:
1) In written form or any material;

2) On film, negative, tape or other medium so as to be capable of being reproduced; or
3) By means of any recording device or process, computer or other electronic device or
process.
The International Council on Archives (ICA) cited that record is a recorded information
produced or received in the initiation, conduct or completion of an institutional or individual
activity and that comprises content, context and structure sufficient to provide evidence
of the activity.
LESSON 2: How does Records Management differ from
Document Management
Records are really a special kind of document and often a record begins its 'life' as a
standard document. At some point, the document gets declared to be a record and
thereafter takes on the special behaviors of a record. The relationships and differences
between documents and records are summarized in the following table:
Document Management Records Management

Records are a special kind of document. Like
documents, records can be structured or
A Document is stored information that contains unstructured data. Records can also have
structured and unstructured data. Documents metadata. Records contain information that is
Stored
are often associated with metadata; a set of used for making business decisions. Lifecycle
Objects
properties or attributes that further describe or instructions get assigned to records that
summarize document content. describe how long the record should be stored
and how to dispose of the record at the end of
the lifecycle.
Records are generally static and are not
Static versus Documents can be very dynamic and support intended to be altered unless and until the
Dynamic frequent revisions and updates. lifecycle of the record indicates that they need to
be superseded.
Records Management is very strict in specifying
Most Document Management systems have
Object the security of records—who can declare and
capabilities for security and privileges, but it isn't
Security access records, and who can approve final
strictly required.
record disposition.
Auditability plays a key part in Records
Document Management Systems provide audit
Management. This involves being able to see
Auditability capability to show the complete history of
where records are in their lifecycle and who has
changes made by the authors of a document.
accessed and modified them.
Document Management software focuses on Record Management software is
Management
searching and retrieving document content. complementary to Document Management.
Software
Document Management systems control the Once a document is declared to be a record, the
creation of document versions and support the RM system will ensure that the record is not
locking of documents checked-out for revisions. altered. Records are filed or categorized based on
a file plan. Records are then disposed of at the
end of the record's life, based on the record
disposition schedule.
The record disposition schedules are the
Workflows direct how documents flow through instructions for a record lifecycle and are a
the organization and how users within the special kind of workflow that is associated with a
Workflow
organization act on the data contained in the record. Compared to document workflow, record
document. workflow is typically much simpler, usually
involving just a few steps.
Document Management systems don't have The destruction of records is usually regulated
Object strict requirements about when documents by laws. National agencies often transfer records
Disposal should be deleted and often no documents are to be permanently archived to NAP, the National
ever deleted. Archives of the Philippines.
LESSON 3: Benefits of Records Management

Records Management provides the following benefits to organizations:
❑ Legal Compliance
❑ Accountability
❑ Preservation of assets
❑ Efficiency
❑ Preparedness
❑ Security
❑ Good business
Records Management is about complying with legal requirements

Records Management is an important support tool that enables organizations to comply
with legal requirements. One of the most compelling reasons for adopting a Records
Management system is to be able to produce evidence relative to litigation brought
against an organization in a timely manner. Electronic Records Management can do just
that. It can be used to quickly search and find the evidence that can help to either prove
or disprove compliance with regulations or to supply information relevant to e-discovery
requests.
Unfortunately, almost all companies and organizations will need to defend themselves
against lawsuits at some point in time. It may seem hard to factor potential litigation into
the Return on Investment (ROI) calculation for Records Management when there is no
immediate litigation pending, but it is usually too late to implement a Records
Management system once faced with a lawsuit.
Regulatory compliance
Regulatory compliance has continually been ranked as a very high priority for both
business and IT. In the last decade, organizations have come under an increasing number
of local, national, and industry regulations. The regulatory landscape is constantlychanging
with regulations being added, rewritten, or retired.
Organizations are also often bound by compliance issues relative to internal business
practices and corporate governance. Typically, any process, at some point, may need to
be documented or audited to ensure that the correct operation falls in the realm of internal
compliance. This might include, for example, documenting and enforcing standard
operating procedures or documenting processes like those in accounts payable or with
the steps of a hiring process. Corporate governance and compliance is relevant for any
department within an organization like finance, engineering, IT, sales, and marketing.
Often, regulations don't specifically require the use of Records Management software for
compliance, but in order to cost-effectively satisfy the need for creating the audit trails
requested by regulations, an automated system for Records Management almost
becomes mandatory.
Authority Documents and compliance
Organizations are required to comply with numerous types of regulations, guidelines,
policies, procedures, principles, and best practices. The documents in which the
requirements for these many different types of compliance are written are called
"Authority Documents".
It is not uncommon for certain types of records to fall under multiple authorities.
Sometimes, even the policies suggested by two relevant Authority Documents willconflict.
Typically, the conflict is with the length of the document retention period. In thosecases,
the longer of the two specified retention periods is typically used. But it is important to
document the reasoning used in compiling the retention policies that you ultimately
implement.
Without knowing what Authority Document requirements your organization is bound by,
it isn't possible to fully set up and configure your Records Management System. You'll
need to do some research. Exactly which Authority Documents your organization will
need to comply with will depend on your type of business or operation. One of the first
steps that you will need to do in setting up your Records Management system will be to
find out which Authority Documents your organization is affected by.
Once you know which Authority Documents you are targeting to support your Records
Management system, you will then need to map the requirements from those authorities
back to the types of records that you will be storing. Many of the requirements from the
Authority Documents will be realized by implementing them as steps of the disposition
lifecycle schedule for the appropriately affected records.
E-discovery
In addition to regulatory compliance, Records Management is an important legal
component of e-discovery. E-discovery is the process in civil and criminal litigation where
electronic data is requested, searched, and produced for use as evidence.
There are similarities and even overlaps in the compliance and e-discovery processes.
Often records are asked to be produced as evidence of regulatory compliance. Like
compliance, failure to respond in a timely way to an e-discovery request can have
significant consequences that include fines, monetary sanctions, and criminal penalties.
In cases where records should have been preserved but which cannot be produced, the
jury can be instructed that it is likely there was something bad to hide.
Often when an e-discovery request catches an organization totally unprepared, the

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

Records Management is a powerful tool for providing accountability and transparency.
Records contain the historical details and reasoning behind why certain policies and
decisions were made. Records can prove that an organization acted responsibly and with
good intent (or not).
But for records to be accepted, they must be trustworthy and believable. They must be
accurate and complete. They must be verifiable. Good Records Management systems,
practices, and processes are the vital elements that can ensure that records are
trustworthy.
When speaking about accountability and transparency in government,

former President Benigno Aquino III declared that "The Government should
be transparent. Transparency promotes accountability and provides
information for citizens about what their Government is doing. Information
maintained by the National Government is a national asset".
But while accountability is something that is often spoken of relative to national and local
government units, accountability is a concept that is not limited to just governments.
Governments are accountable to their citizens. Non-government organizations are
accountable to their members, their employees, their customers, their communities, and
their environments.
Accountability mandates that organizations keep accurate records that can later be
reviewed, accessed, and analyzed by individuals inside the organization, and sometimes
external to it.
Records Management is about preserving assets

At the heart of Records Management is the idea that records are retained and preserved
to ensure that information is available for continued use and reuse. The required retention
time for records varies widely. While the majority of records typically have only short-term
value and are ultimately destroyed, most organizations also have a category of records,
often representing a fairly large fraction of their total number, that need to be retained and
preserved for long-term financial, historical, or cultural reasons. This category of records
often needs special consideration to ensure that records will remain usable for long
periods of time.
Electronic Records Management (ERM) offers clear benefits over paper-based record
systems. The process automation capabilities of ERM make the capturing and ingestion
of record data fast and efficient. ERM records can be searched and we can retrieve orders
of magnitude more quickly than with paper systems, and backups or copies of the
electronic data can be made easily so that data can be safely stored in off-site locations.
Because of these benefits, organizations are increasingly abandoning paper and turning
towards the digital storage of their information.
While ERM can offer impressive benefits in terms of efficiencies and cost savings, digital
assets themselves can be quite fragile, if not properly maintained. Two main areas of
concern about preservation of digital assets are the long-term viability of the storage
media and the data formats used to store the records.
Magnetic and Optical storage devices are surprisingly short-lived. Both types of media
are subject to bit rot, the process where bits become corrupted because they lose their
magnetic orientation, or the disk material itself breaks down. Hard drives, for example,
have only a three to six-year lifespan expectancy. Magnetic tapes are expected to last
ten to twenty years, and the lifespan of CD-ROMs and DVD-ROMs is in the range of 10
to 100 years.
Properly maintained, despite being extremely fragile, some paper has been able to last
for thousands of years, and no doubt with the right amount of scientific research, proper
attention, and careful handling, the lifespan of digital media could be extended to go
beyond the current expected lengths. Both paper and disks tend to do better in cool, dark
environments with low humidity. But it should be a given that the lifespan of storage
devices will be relatively short.
As ERM systems have centralized storage, storage media degradation for ERM systems
isn't really an issue. Because all data is stored centrally, rather than needing to examine
and treat the storage media of each asset as a special case, the storage and management
of all records can be treated holistically.
However, Records Management systems aren't static. As time passes, ERM systems will
obviously evolve. Records Management systems will be upgraded, hopefully on a regular
basis, and data and records will be migrated to newer storage hardware and improved
ERM software. Data migrations performed in support of regular maintenance and
upgrades won't always be trivial, but with careful planning, the work involved to migrate
records to new software and hardware should be straightforward.
So from a data preservation level, the worry is not so great that records stored in actively
maintained and regularly backed-up Records Management systems would somehow be
lost because of degradation of storage media. The real worry is whether the format that
digital assets are stored in can continue to be readable.
Data file formats change very rapidly. With some software products, every new release
may involve changes to the format in which the data is stored. Without the proper software
reader to read a digital asset, the stored data becomes, in effect, useless. A common
solution to reduce the size of this problem is to limit or convert the formats of data being
stored to a small set of stable core data types. This is an important problem to be aware
of when designing and planning for a Records Management systems that requires long-
term record preservation.
Records Management is about efficiency

Keeping records for a period past the necessary retention period results in inefficiencies.
Storing expired documents simply takes up space and clogs up the Records Management
system.
When records are kept longer than needed, those outdated records can be unnecessarily
considered during the discovery process. When performing e-discovery key-word
searches, outdated documents can be returned as possible search candidate matches,
even though they are no longer relevant.
For example, consider an e-discovery request made to the chemical company DuPont, a
U.S. based company. To respond to the request, the company found that it was necessary
to review 75 million pages of text over a period of three years. At the end of the
e-discovery, they realized that more than half of the documents they examined were
outdated and past their retention period. If Records Management guidelines had been
applied prior to the discovery, outdated documents would have been properly disposed
of, and the discovery process could have been performed much more efficiently. That
could have saved DuPont $12 million.
In this example, greater efficiency could have been achieved by eliminating obsolete
records, thus minimizing the volumes of data examined during e-discovery. Eliminating
obsolete records also reduces the legal risks that could result from obsolete content that
may have been in those records.
Having a Records Management system in place prior to an e-discovery request can be

an insurance policy that could ultimately save you many times over the cost of the system
itself.
Records Management is about being prepared

Records Management is about being prepared, being prepared for the unexpected. No
one can see the future, but disasters do happen, and unfortunately, on an all too regular
basis.
On the morning of September 11, 2001, terrorists crashed airliners into each of the Twin
Towers of the World Trade Center in New York City. The death toll that day was nearly
3000 people. The destruction was in the billions of dollars and the event seriously
impacted the economy in New York City and affected the psyche of nearly every citizen
in the United States. Lives and businesses were disrupted and changed.
One business directly affected by this disaster is the law firm of Sidley Austin Brown &
Wood LLP (SAB&W), which occupied the fifth fourth to the fifty ninth floors of the North
Tower. While 600 SAB&W employees worked in the Trade Center offices, the firm
suffered only a single death that day. Unfortunately, all physical assets at the location
were lost.
Luckily SAB&W was prepared. The firm had a solid disaster recovery plan and within
hours after the disaster, the plan was in full effect. By making use of vital records
maintained offsite that included information about floor plans, personnel locations,
procedures, clients, and vendors, the firm was able to spring into action. The vital records
that they had access to included important insurance records. From these records, they
were quickly able to determine that their total loss would be fully covered by their
insurance and they were also able to quickly start the processing of their insurance
payout.
Based on personnel records, an intensive search was immediately initiated to locate all
employees from that location. A new office space of similar size was leased at another
location in New York City hours after the event. Computers, networking equipment, and
furniture were purchased.
Backup tapes kept in Chicago of e-mails and other data from the New York office were
identified. Within three days, e-mail and voice mail were fully restored. On the fourth day,
the document management system was available again and temporary office space was
being set up. Somewhat unbelievably, within only one week, SAB&W was back up and
running and in reasonable operational shape.
The widespread loss and damage to documentation and records was a major tragedy of
the Super Typhoon Yolanda disaster, and much of the damage was as a result of the
heavy reliance on the use of paper records. It is another reminder that disasters like
floods, fires, volcanic eruptions, tornados, and typhoons come with little warning and can
bring about devastating results. The previous largest disaster prior to Yolanda for losing
historical documents happened in Florence, Italy in 1966 due to flooding.
In the case of Super Typhoon Yolanda, the loss or damage of records wasn't limited to
individuals; institutions and government agencies were heavily affected too. Historical
treaties and photographs were destroyed. Vital records of all kinds were affected by
Yolanda that included medical records, school records, law enforcement records, birth
records, and marriage and driver's licenses.
After documents come into contact with water or moisture, it takes only 48 hours before
mold starts growing, and after that, the deterioration of paper documents accelerates
quickly. The flood waters in many areas hit by Yolanda were several feet high (storm
surge), forcing many residents to evacuate and leave behind their belongings, only being
allowed to come back into the area many days later. But by that time, for many documents
that were damaged, it was too late.
Disasters are good teachers. After the event, creating and maintaining a disaster recovery
plan immediately became a top priority for other organization and institution. They
invested in Document Imaging and Records Management software, and after seeing
firsthand what could happen when planning and preparation for worst-case scenarios
aren't done, they did not want to see a repeat episode.
Whether they are man-made or natural, disasters happen. Preparation and planning are
key for being able to successfully cope with disasters.
Records Management is about coming to grips with data volumes

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

allow organizations to cut back on what
information must be retained.
Organizations with no Records
Management policies in place have no
clear guidelines for what documents to
save and what documents to discard. The end result is that these organizations typically
save everything.
And we've seen, trying to save everything comes at a steep cost. Keeping records that
should have been destroyed earlier means that more storage space is required. It means
that backup times are longer. It means that data searches are slower because there is
more information to search. It means that people's time gets wasted when irrelevant
records turn up in search results. Records Management helps clear the clutter and bring
greater efficiency.
Records Management isn't going to be able to put a stop to the general upward trend of
creating and storing more information, but by strictly following Records Management
retention schedules, organizations should be able to significantly reduce the volume of
data that they do keep.
Records Management is about security

The security of records is an important issue and the responsibility of the Records
Management system. This is one area where an Electronic Records Management (ERM)
system really shines when compared to manual methods for managing records.
A major advantage of ERM is that the application of security and access controls over
electronic records and folders is much easier to implement and can be applied in a much
more granular way than over physical folders and records.
Records stored on paper and other non-electronic media are very hard to tightly secure,
especially when the requirements for access control become even moderately complex.
Physical records require that filing cabinets and storage locations be appropriately
secured. They typically need to be controlled and managed by trusted records staffs.
Physical Records Management requires far greater day-to-day supervision by people
and, because of that, is subject to many more points of potential security lapses than with
an automated system.
That is not to say that the physical security of the computer hardware used to run the
Records Management system is not important.
With ERM, access rights can be changed or revoked, as needed, protecting records from
unauthorized users. The system is able to validate that the data managed is accurate and
authentic. An ERM system can also provide an audit trail of all activities for all records
and thus demonstrate compliance.
Records Management is about good business

Regulations usually contain detailed instructions about how records should be handled,
but often the regulations don't actually mandate that a formal Records Management
system be used. But really, what's the alternative?
Not having a Records Management program at all is a recipe for problems, if not disaster.
Without a Records Management system in place, tracking down the records that
document policies, procedures, transactions, and decisions of an organization becomes
extremely difficult or next to impossible.
We've discussed how Records Management can enable important business benefits like
accountability, compliance, efficiency, and security. Taken as a whole, these benefits are
really the characteristics of doing good business. And at its very essence, that's what
Records Management is all about.
LESSON 4: Records Classification

Common records, such as correspondence (letters and memos), reports, forms, and
books, can appear on paper, on optical or digital storage media, or on an organization’s
intranet pages. An organization may receive records through regular mail, electronic mail,
facsimile machines (fax), special couriers, or by accessing computer networks including
the Internet and organizations intranets.
Other types of records to consider are oral records that capture the human voice and are
stored on cassettes and other magnetic media. Records also are stored on film, CDs,
DVDs, videotapes, photographs, USB, external drive, and microfilm. Records are
valuable property, or resources, of an organization or firm; and, like all other resources,
they must be managed properly.
Usually, records are classified in three basic ways: (1) by the type of use, (2) by the place
where they are used, and (3) by the value of the records to the organization or firm as
listed in Figure 4.1.
Figure 4.1. Records Classifications

Classifications Examples
Use • Transaction documents
• Reference documents
Place of Use • External records
• Internal records
Value of Record • Vital records
• Important records
• Useful records
• Nonessential records
Classification by Use
Classification according to records use includes transaction documents and reference
documents. A transaction document is a record used in an organization’s day-to-day
operations. These documents consist primarily of business forms which can be created
manually, electronically, or generated Place of Use via e-commerce systems on the
Internet. Examples are invoices, requisitions, purchase and sales orders, bank checks,
statements, contracts, shipping documents, and personnel records such as employment
applications, time sheets, and attendance reports.
A reference document, on the other hand, contains information needed to carry on the
operations of a fi rm over long periods. These records are referenced for information about
previous decisions, quotations on items to purchase, statements of administrative policy,
and plans for running the organization. Common reference documents, the most
frequently used category of records maintained in an office, are business letters, reports,
and interoffice e-mail. Other examples include catalogs, price lists, brochures, and
pamphlets.
Classification by Place of Use

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

From an inventory and analysis of the use of each major record category, a manager
determines the value of the record to the organization. This evaluation is used to develop
a records retention schedule specifying how long to keep the records in an organization.
Recent legislation makes records retention of critical importance.
Some records are so valuable to an organization that they require special measures of
protection. Each record maintained by an organization falls into one of four categories
used to determine how records should be retained and the level of protection they require.
These categories are vital records, important records, useful records, and nonessential
records as shown in Figure 4.2
Figure 4.2. Records Categories
Category Examples
Vital Records Legal papers, articles of incorporation,
• Necessary for the continuing operation organization titles of property, reports to shareholders
• Usually not replaceable
• Highest degree of protection necessary
Important Records Personnel records, sales records,
• Assist in performing business operations financial and tax records, selected
• Usually replaceable but at great cost correspondence and reports, contracts
• High degree of protection necessary
Useful Records General correspondence and bank
• Helpful in conducting business operations statements
• Usually replaceable at slight cost
• Low to medium degree of protection
Nonessential Records Announcements and bulletins to
• Records have no predictable value after their initial use employees, acknowledgments and
• Lowest degree of protection routine telephone/e-mail messages
Figure 4.3. Record Values and Types

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

Records serve as the memory of an organization/business. They document the
information needed for complying with regulations and the transactions of an
organization. For example, management policies are developed and recorded to furnish
broad guidelines for operating a business. Each department (for example, Security,
Finance, Marketing, Accounting, Procurement, Property Management, and Human
Resources) bases its entire method of operations upon records. Usually, records are used
and retained because they have administrative, legal, or historical values to an
organization. Policy manuals and handbooks are examples of records that have
administrative value. Contracts and deeds are documents that have legal value to an
organization. Minutes of meetings have historical value. More examples of records and
their values to the organization are shown in Figure 4.3.
LESSON 5: Establishing a Policy Framework

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

Archival institutions or records management office are ongoing operations, not special
projects or time-limited initiatives. A closet stuffed with boxes of records is not an archival
facility, any more than a shelf full of books is a library or a garage full of car parts is a
museum. Even a digital repository for electronic records care needs a stable physical and
administrative environment.
All archival institutions should have the authority to take physical and legal custody or
control of archives/records and associated materials; dispose of unwanted materials;
store archives safely; arrange, describe and preserve them according to archival/ record
standards and guidelines; and provide equitable access. If the institution also has wider
information and records management duties, those responsibilities also need to be clearly
articulated and adequately resourced.
Identifying areas requiring policies

All major archival tasks should be guided by formal policies, which need to take into
account not only the institution’s needs and priorities but also those of its sponsor agency
and the wider society in which that agency operates. Policies must also respect the legal
and regulatory requirements in the jurisdiction. Laws affecting the management of
archives may relate to:
❑ copyright and intellectual property
❑ access to information
❑ protection of personal privacy
❑ admissibility of evidence
❑ data protection and information security
❑ heritage or cultural property management
❑ criminal acts
❑ employment and labor relations
❑ taxation and financial management
The archivist/records officer/records manager in even the smallest and most informal
facilities must understand the extent of the regulatory regime in which he/she works. Even
the simplest of archival/records decisions, such as publishing a photograph on a website,
can have legal repercussions if copyright is not respected. In keeping with the principle
ignorantia juris non excusat – ‘ignorance of the law is not an excuse’ the
archivist/records officer/records manager will not be forgiven easily if she acts unlawfully,
even if he/she claims that he/she did not fully understand the law.
LESSON 6: Policy and Governance Framework of Records
Management
As the number of records increases dramatically, legislation to balance and protect an

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

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

Standardization) is a worldwide
federation of national standards bodies
(ISO member bodies). The work of
preparing International Standards is
normally carried out through ISO
technical committees. Each member
body interested in a subject for which a
technical committee has been established has the right to be represented on that
committee. International organizations, governmental and non-governmental, in liaison
with ISO, also take part in the work. ISO collaborates closely with the International
Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
Regulatory References
ISO 9001:2008, “Quality Management Systems-Requirements”,

International Organization for Standardization (ISO), Nov., 2008.
Specifies requirements for a quality management system where an
organization:
❑ needs to demonstrate its ability to consistently provide product that meets
customer and applicable statutory and regulatory requirements, and

❑ aims to enhance customer satisfaction through the effective application of the
system, including processes for continual improvement of the system and the
assurance of conformity to customer and applicable statutory and regulatory
requirements.
ISO 15489:2016, “Information and Documentation – Records

Management”, International Organization for Standardization (ISO),
Nov., 2016. It is an international standard that specifies high-level
best practices around Records Management. It was designed to
help businesses and other organizations to manage their records to
keep them reliable and up-to-date. Records are kept in all types of
environment, government and business, and are no longer just
physical items.
It establishes the core concepts and principles for the creation, capture and management
of records. The Standard applies to records regardless of structure or form, in all types of
business and technological environments, and over time. It includes core concepts and
principles for:
❑ records, records systems and metadata for records;
❑ policies, assigned responsibilities, monitoring and training supporting the effective
management of records;
❑ recurrent analysis of business context and the identification of records
requirements;
❑ records controls; and
❑ processes for creating, capturing and managing records.
ISO 5127:2017: Information and Documentation, provides a

concept system and general vocabulary for the field of
documentation within the whole information field. It has been
created with a balanced representation of major work areas in
mind: documentation, libraries, archives, media, museums,
records management, conservation as well as legal aspects of documentation. The scope
of the vocabulary provided in this document corresponds to that of ISO/TC 46:
standardization of practices relating to libraries, documentation and information centers,
publishing, archives, records management, museum documentation, indexing and
abstracting services, and information science.
ISO 14001:2015, Environmental Management Systems –

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

system, which provide value for the environment, the organization itself and interested
parties. Consistent with the organization's environmental policy, the intended outcomes
of an environmental management system include:
❑ enhancement of environmental performance;
❑ fulfilment of compliance obligations;
❑ achievement of environmental objectives.
International Council of Archives (ICA) is dedicated
to the effective management of records and the
preservation, care and use of the world's archival
heritage through its representation of records and
archive professionals across the globe.
Statutory References
Republic Act No. 9470, National Archives of the Philippines Act of 2007 is an act to
strengthen the system of management and administration of archival records,
establishing for the purpose the National Archives of the Philippines, and for other
purposes.
The Act shall cover all public records with archival value, held by either government
offices or private collections, and shall also cover archival and records management
programs and activities in all branches of government, whether national or local,
constitutional offices, GOCCs, government financial institutions, state universities and
colleges, Philippine embassies, consulates and other Philippine offices abroad.
R.A 9470 covers the records management and archives administration as part of the
programs and activities of government offices.
Republic Act No. 10066, National Cultural Heritage Act of 2009 is an act providing for
the protection and conservation of the National Cultural Heritage, strengthening the
National for Culture and the Arts (NCCA) and its affiliated cultural agencies, and for other
purposes.
National Archives of the Philippines (NAP) is a national government agency attached

to the National Commission for Culture and the Arts (NCCA), responsible for the
implementation of the objectives and provisions of Republic Act. 9470. It is also the official
repository of public records and archives where they are preserved, conserved and made
available to the public.
Republic Act No. 8792, Electronic Commerce Act provides the recognition and use of
electronic commercial and non-commercial transactions, penalties for unlawful use
thereof, and other purposes.
This Act aims to facilitate domestic and international dealings, transactions,

arrangements, agreements, contracts and exchanges and storage of information through
the utilization of electronic, optical and similar medium, mode, instrumentality and
technology to recognize the authenticity and reliability of electronic data messages or
electronic documents related to such activities and to promote the universal use of
electronic transactions in the government and by the general public.
Local Government Code of 1991, Sec. 374. Establishing of an Archival System

states that every local government unit shall provide for the establishment of an archival
system to ensure the safety and protection of all government property, public documents
or records such as records of births, marriages, property inventory, land assessments,
land ownership, tax payments, tax accounts, and business permits, and such other
records or documents of public interest in the various departments and offices of the
provincial, city, or municipal government concerned.
R
ecords are valuable
resources of the Government
to support evidence-based
decision making, meet
operational and regulatory requirements and are

essential
for an open and accountable government. Good
records
management not only helps protect records but also
enhances an organization’s operational efficiency while minimizing costs. Records
management is therefore an important common function of bureau and departments.
Use of electronic means to conduct business and deliver public services has become
increasingly commonplace. The proportion of government records being created digitally
is increasing exponentially. Electronic records come in a wide variety of formats: e-mails,
images, spreadsheets, texts, audio recordings, etc. and have a vulnerable nature. They
are easily overwritten, lost or become inaccessible over time in light of rapid technological
changes and obsolescence, unless specific policies, strategies and tools are developed
and adopted to properly manage and preserve them for as long as they are required to
serve legal, regulatory, business, operational, evidence and archival purposes.
LESSON 1: Government Records and Qualities of a Records
Definition of government records

A government record is any recorded information or data in any physical format or media
created or received by a bureaus and department during its course of official business and
kept as evidence of policies, decisions, procedures, functions, activities and transactions.
In order to serve as evidence, a record must possess the following set of attributes and
be part of the recordkeeping system that provides the necessary information to document
accurately the policies, decisions, procedures, functions, activities and transactions for
which the record was created or collected –
a) Content – the content of a record refers to the information or idea the record
contains; b) Context – the context of a record comprises the information about the
circumstances in which the record is created, transmitted, maintained and used (e.g.
who created it, when, to whom was it sent, why); and
c) Structure – the structure of a record means the physical and/or logical format of the
record, and the way parts of the record related to each other (e.g. the structure of an
e-mail record covers its header, body, attachments and corresponding reply).
Records are an integral part of business processes and must be managed and retained
for as long as they are needed to support the functions of a bureaus and departments
and to provide evidence of decisions and activities.
It is the Government’s policy to require the establishment of a comprehensive records

management program in each bureaus and department to ensure that records as
evidence of policies, decisions, procedures, functions, activities and transactions are
properly kept and managed.
Qualities of a record
In order to serve as reliable evidence of decisions and activities, records must have
qualities of –
a) Authenticity – an authentic record is one that can be proven (i) to be what it purports
to be; (ii) to have been created or sent by the person purported to have created or sent
it; and (iii) to have been created or sent at the time purported;
b) Reliability – a reliable record is one whose contents can be trusted as a full and
accurate representation of the transactions, activities or facts to which they attest and
can be depended upon in the course of subsequent transactions or activities;
c) Integrity – the integrity of a record refers to its being complete and unaltered; and
d) Usability – a usable record is one that can be located, retrieved, presented and
interpreted. It should be capable of subsequent presentation as directly connected to
the business activity or transaction that produced it.
Importance of Identifying Vital Records

The process of review should include the particularly important task of identifying vital
records. Vital records (also referred to as essential records) are those records needed
by the institution to support its own recovery after a disaster or emergency. Other vital
records may also be needed to help the organization protect its assets and protect
employees, volunteers or the public. (This use of the term ‘vital’ is different from the sense
of a vital record as a document of a significant life event, such as birth, marriage or death.)
The vital records of an archival institution might include its accession records, which
identify everything in the institution’s custody or under its control. Other vital records
might
be staff and volunteer contact information, needed to locate everyone in an emergency
and ensure they are safe; and reference room or building entry registers, which can
identify anyone in the facility at a particular time, so everyone can be located and protected
in an emergency. Other vital records might include building leases, essential service
contracts or other documents that prove the institution’s rights and responsibilities. Once
these vital records are identified, the archivist needs to develop mechanisms for protecting
them and build that guidance into her institution’s emergency plan, discussed later, so
action can be taken to protect and access the records in an emergency.
LESSON 2: Electronic Records: Challenges and Needs
An electronic record means a record generated

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

Electronic records present unique challenges in RM because of –
a) the fragility of the media (e.g. magnetic tapes and CD-ROMs) upon which they are
recorded. These media are inherently unstable, requiring specific storage conditions
and are highly susceptible to damage during handling and use;
b) the dependency on technology to allow access and use. Unlike paper records which
require no further technology to interpret the information therein, electronic records
cannot be read directly without the aid of computer software and hardware to interpret
the binary codes used to represent letters, numbers and figures and so on. Electronic
records can be lost because they cannot be read or understood due to hardware and
software obsolescence;
c) the ease of manipulation (i.e. updated, deleted, altered intentionally or inadvertently)
without being discovered; and
d) the absence of self-evident and ready contextual information (e.g. who created it,
when, to whom was it sent, why) to enable that the records are understandable and
usable over time.
Need for electronic records management

In the era of e-government, due to the widespread use of desktop computers and
communication/decision making through e-mails, a significant portion of electronic
records is created and received in an unstructured computing environment where – a)
business processes and workflows are not well defined;
b) the user has relative autonomy over what information is created, sent, and stored
(e.g. an e-mail and its attachments); and
c) accountability for recordkeeping has not been well defined.
The characteristics of electronic records coupled with the unstructured computing

environment may give rise to the following risks in Records Management – a)
uncontrolled accumulation of records, documents and data;
b) inadequate or incomplete keeping of records;
c) inadvertent destruction of records;
d) unauthorized tampering with records; and
e) inadequate or lack of contextual information of records.
To deal with the challenges for managing electronic records, there is a need to develop
policy, strategies and tools to ensure that government electronic records are managed
properly and effectively. Electronic Records Management, applying records management
principles and adopting electronic means, primarily an electronicrecordkeeping system
(ERKS) to keep and manage records, is a proven solution.
LESSON 3: Hybrid Records Management Environment
Although many records are created or

received
in digital format, non-electronic records will
co
exist with electronic records for some time
for
various reasons, such as –
a) paper is still the preferred medium by many people;
b) records such as contracts, deeds, tenders, supplies or accounting records may need
to be retained in their original paper format to ensure their authenticity and/or to meet
regulatory or legal requirements; and
c) non-electronic records which are inconvenient or difficult to be digitized, e.g. bulky

books, oversized maps, audio/video tapes, exhibits may have to be kept in their
original formats.
The co-existence of electronic records and non-electronic records creates a hybrid RM

environment. Under this environment, it is important to maintain the links between related
electronic and non-electronic records to ensure that the records are complete and the
necessary contextual information is captured to facilitate understanding of the records.
LESSON 4: Electronic Recordkeeping System
An electronic recordkeeping system is an

information/computer system with the necessary
records
management capabilities designed to electronically
collect,
organize, classify and control the creation, storage,
retrieval, distribution, maintenance and use, disposal and
preservation of records.
Anticipated benefits of Electronic Recordkeeping System A properly
designed and comprehensive records management program supported by an electronic
recordkeeping system provides ready access to relevant information about business
activities, facilitates collaboration across workgroups, supports decision making and
provides evidence of official transactions. These will bring about the following key
benefits –
a) better governance and greater accountability;
b) enhanced operational efficiency and reduced cost for storing records; c)
improved organizational compliance with legal and regulatory requirements; d)
higher efficiency and effectiveness in managing electronic records; e)
strengthened security and access control to records;
f) better sharing of information; and
g) better preservation of corporate and community memory.
LESSON 5: Information Technology Requirements
The records manager also has to

consider
information technology
requirements.
Buying a desk and chair can be an
investment; good quality furniture will
last
for decades or centuries. But computer
technology is not a one-time cost. As long
as computer manufacturers and software designers keep making new systems and tools
(and planned obsolescence seems to be the mantra of many technology companies),
computer –users
ELECTRPM have
Records to keepManagement
and Property pace, so equipment, software
| Module 1 | Ms. and
DIANA P. related
DELA CRUZ tools need to 40
be
replaced with painful and expensive regularity.
Budgeting for technology, therefore, involves planning not just for the cost of purchasing
hardware, software, licenses and supplies in the first place but also for upgrades, training,
maintenance, repairs and replacement. The need for continuous improvement in
information technologies is particularly acute if the institution has taken on responsibility
for managing digital records and archives. But even if the institution is not responsible for
its sponsor agency’s digital records, it will still need high-quality, well maintained
information technologies, to support tasks such as accessioning, arrangement and
description, location management, digitization, reference and access. An archival
institution needs:
❑ adequate and up-to-date hardware and software, including servers, peripherals (such
as printers and scanners) and software licenses and contracts;
❑ reliable technical support services, including training, software installation, repairs and
upgrades, troubleshooting and maintenance of facilities and equipment;
❑ the highest quality security systems and services, including remote storage and back
up systems for digital archives and institutional records, firewalls to prevent
unauthorized access to the institution’s computers and strict protocols for the
management of passwords and access to systems and data; and
❑ technical and design support for developing and maintaining web pages, virtual
exhibits, internet-based resource information and online reference services.
LESSON 6: Trends in Electronic Records Management and

Information Management
Even though more businesses than ever are

investing in new technologies, using
physical
records continues to be a fact of office life. This
can be attributed to the increased use of equipment
that enables employees to create physical records
from electronic media. Copiers, printers, and
facsimile machines all have the ability to interface with office computer systems to
produce large volumes of physical documents.
Other reasons for continued popularity of physical records are more personal and
individual: paper requires no additional equipment for viewing; people can write on and
annotate physical documents; and paper is easily transportable.
People who have grown up reading from a screen are comfortable with that medium. Will
this comfort of reading from a screen change the dependence on physical documents?
This change in work and learning methods could help reduce physical records in the
future. As a consequence of the current information explosion, records managers must
deal with increasing numbers of records—both physical and electronic.
Electronic Records
An electronic record is a record stored on
electronic
media that can be readily accessed or
changed. A
piece of equipment is required to view and
read or
listen to electronic records. With the
development
and use of application software on personal
computers, letters, memos, and reports were
created
electronically; however, the purpose of these
systems was to facilitate the creation of physical
records. As technology has advanced, true electronic
records are in use today; i.e., records created, distributed, used, and stored in electronic
form. The contents of these records are accessible by machine.
The challenge for the records manager is to ensure that all records are what they appear
to be. Increases in fraud and theft of electronic records have left records and information
managers desperate to ensure the safety and security of the organization’s valuable
resources.
To that end, each person responsible for electronic records follows the records
management storage and retrieval procedures set up for the organization. Consistently
following procedures helps protect the company in legal actions. The same benefits of
following proper records management procedures for physical records also apply to
electronic records: The information is available at the right time to help make effective
decisions.
Electronic Mail
Electronic mail (e-mail) is a system that
enables users to compose, transmit,
receive,
and manage electronic documents and
images
across networks. A variety of electronic
mail
systems allow users to write and send messages
via computers and software.
E-mail is now the primary mode of communication between employees in corporations

and governmental agencies. The many advantages of using e-mail include its ease of use
and short delivery time. The message- delivery process of e-mail is nearly instantaneous
on some networks. Unfortunately, e-mail has a potential for abuse and disaster. Records
and information managers have developed policies related to electronic records for their
organizations. Employees must follow the policies developed for effective and efficient
management of electronic records.
Many questions related to records management and e-mail must be addressed by records
managers. E-mail communications can be used in a court of law. What procedures are in
place to respond to a court order to produce e-mail records? How do you maintain the
integrity of a record? Can you keep it confidential? How long do you keep an electronic
mail message? Is it acceptable to send personal e-mails over the organization network?
These questions are only a few of the ones that must be answered as more and more
messages are sent and received electronically. Records and information managers work
with Information Technology departments to determine the feasibility of storage. Many
organizations are changing their archiving policies because the volume of e-mail is
expanding.
Other Electronic Records
Wikis, blogs, podcasts, webinars, online forums, social media sites and tweets are some
of the newer modes of electronic communication. Recorded information on these media
can be official records; or they can also be unstructured and not considered records.
A wiki is a page or collection of web pages that allows people who access the site to
contribute or modify content. Wikis allow users to work collaboratively, updating each
other’s entries or creating new entries. Wikis are used in business to provide product
information or use instructions, gather feedback from product or service users, and
communicate on other issues.
A blog (short for the term web log) is a shared, online journal. The journal is hosted by
a company, organization, or individual who makes regular entries called posts. The posts
contain text comments on the blog topic. Some blogs also contain graphics or video.
Entries are usually shown in reverse-chrono-logical order. The blog host may allow
readers to post comments or replies to the blog entries. Blog can also be used as a verb,
meaning to post content to a blog. A blogger is a person who contributes to a blog.
A podcast is a broadcast sent over the Internet to receivers who hear and/or view the
information via computers, MP3 players, or other electronic devices. Early podcasts were
often received using iPods, thus the name pod-cast. A podcaster is the organization or
person who creates and broadcasts the content of a podcast. A podcast may be audio
only or it may contain video and audio. Many podcasts are free to receivers. For some
podcasts, receivers have to pay a fee. Receivers may subscribe to an RRS feed to receive
podcasts. RRS stands for really simple syndication and is the technology used in
creating the feed. Updated information from the feed is automatically downloaded to the
subscriber’s computer and can be viewed at his or her convenience.
A webinar (short for Web seminar) is a presentation given over the World Wide Web.
Videoconferencing is used so that participants and the presenter can interact, asking
and answering questions. The participants may be in a special room designed with
cameras
and other equipment for videoconferencing or they may use a webcam and a personal
computer to take part in the webinar.
An Internet Forum, or online message board, is a place where people can post and
read messages. Browser software is used to read and post messages to the forum. The
messages may be sorted into discussion topics or subjects. Messages about a particular
topic are called threads.
Social Media refers to websites and applications that are designed to allow people to
share content quickly, efficiently, and in real-time. While many people access social media
through smartphone apps, this communication tool started with computers, and social
media can refer to any internet communication tool that allows users to broadly share
content and engage with the public. The ability to share photos, opinions, and events in
real-time has transformed the way we live and the way we do business.
A tweet is a short message posted on the Twitter social network website. The messages
can be posted or viewed on a computer or a mobile phone. A tweet is similar to a blog
post or an e-mail, but shorter—usually limited to 140 characters. Tweeting has some
business –applications
ELECTRPM in announcing
Records and Property sales,
Management meetings,
| Module or other
1 | Ms. DIANA information.
P. DELA CRUZ For example,
45
if you are running late to a meeting, you might post a tweet letting others know where
you are and why you are late.
Document Imaging
Document imaging is an
automated
system for scanning, storing,
retrieving,
and managing images of physical
records
in an electronic format. A physical
document is scanned into a computer file,
thus creating an electronic image of the
document. Scanned files are usually large; consequently, optical disk storage is
recommended.
Textual data can be converted electronically using optical character recognition (OCR)
software. Lists of key words are created for each scanned file. An image and text
database are developed enabling a search by key words to find a document in a matter
of seconds. Once found, the document can be sent to the requester by fax, computer-to
computer communication, or a physical copy.
The Internet and Electronic Commerce

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

information
about themselves and their products. They
also
conduct business using these sites. A broad
definition of e-commerce is an electronic method
to communicate and to transact business over
networks and through computers. In other words, e-commerce is the buying and selling
of goods and services using the Internet and other digital communications such as
electronic funds transfer, smart cards, and digital cash.
Complex, sophisticated e-commerce systems use a combination of technology: the

organization’s databases, server applications, and browser software to display the
transaction. For example, when you decide to buy something from an e-commerce site,
you create an account. Your account information is entered into a database—you, as the
user, are creating a record for the company. The record is stored in the company’s
database until the next time you look at the company’s website. Companies utilize
“cookies,” which are embedded information stored on your computer. When you visit the
company site again, the cookie sends information about you to the site so that you can
add purchases or edit your account.
As you buy more products, the company tracks your particular taste in products. If you
haven’t purchased anything for a while, an e-mail may be automatically generated to let
you know of new products that match your previous purchases. The company is able to
generate new business based on previous business. This process is called niche
marketing, and it’s available in an all-electronic format.
Management of e-commerce bridges the gap between information technology, records

and information management, and the company’s legal departments. Cooperation
between and among these departments ensures a smooth flow of customer service, sales,
and evidence of the transactions.
Electronic File Transfer and Data Interchange

The business processes of electronic file transfer and data interchange are another way
that organizations use digital communications.
Electronic fund transfer (EFT) provides for electronic
payments and collections. It is safe, secure, efficient, and
less expensive than paper check payments and
collections. Many organizations deposit their employees’
pay by using EFT.
Electronic data interchange (EDI) is a communication procedure between two

companies that allows the exchange of standardized documents (most commonly invoices
or purchase orders) through computers. If the two companies/organizations have
compatible systems, the computers talk to each other through a connection. Walmart is
an example of a retailer that communicates with suppliers using EDI. For example,
suppose you buy a pair of jeans at a local retailer, such as Shoemart (SM) or groceries in
Puregold Supermarket. The item is scanned, and the inventory of these jeans and/or
grocery items is updated. If more jeans and/or grocery items are needed, the retailer sends
a purchase order to the apparel company or supplier warehouse by EDI. Whenthe
apparel company ships the order, an invoice is created and sent to the retailer, again
through EDI. The retailer can then pay the apparel company and/or supplier by electronic
funds transfer. Thus, no physical records are exchanged. Records and information
managers should ensure that the records transmitted in this business process are
authentic, correct, and usable.
Enterprise Content Management

“Enterprise content management (ECM) is
the term
used to describe the technologies, tools, and
methods
used to capture, manage, store, preserve, and
deliver
content or information across an enterprise or
organization.” This term and definition comes
from
AIIM, a global enterprise content management
association. An enterprise is a business venture or
company. Systems have long been in place for electronic document management (EDM)
and business process management (BPM). The broader term of ECM is an attempt to
deal with the complex world of information technology where one technology can become
outdated and be replaced with several new ones.
The value of ECM is not only in its technology, but also in the activities that involve people
and processes. Organizations need a solution that enables their users to share documents
and provides collaborative features (such as discussion threads, calendar items, and
additional project information) in a secure manner.
Many organizations realize that implementing and managing an integrated process is a

challenge. Organizations must invest in risk assessments, policy development, training,
management strategies, and other activities, as well as technology. This involves several
departments in an organization that work together to make ECM work in the organization.
As with all records, ECM acknowledges that not all records are created equal. The records have business,
operation, legal, and/or regulatory value as discussed earlier. ECM also works well on unstructured information
that exists outside the confines of database systems. The vast majority of information in most organizations comes
from e-mail, word processing documents, digital images, and PDF (portable document format) files. Industry
experts place this type of information at 80 percent of all information created for an organization. ECM is a process
that will help an enterprise and government benefit in efficiency and effectiveness because of the combination of
people, processes, and technology. Because of the information explosion, most new information is stored on
some type of electronic media. Records and information management professionals are concerned about the
management of these records. In the next section, you will learn about the legal considerations for records
management.
records are valuable resources of the Government to support evidence-based decision making, meet
operational and regulatory requirements and are essential for an open and accountable government. Good
records
management not only helps protect records but also
enhances an organization’s operational efficiency while minimizing costs. Records management is therefore an
important common function of bureau and departments.
Use of electronic means to conduct business and deliver public services has become
increasingly commonplace. The proportion of government records being created digitally
is increasing exponentially. Electronic records come in a wide variety of formats: e-mails,
images, spreadsheets, texts, audio recordings, etc. and have a vulnerable nature. They
are easily overwritten, lost or become inaccessible over time in light of rapid technological
changes and obsolescence, unless specific policies, strategies and tools are developed
and adopted to properly manage and preserve them for as long as they are required to
serve legal, regulatory, business, operational, evidence and archival purposes.
LESSON 1: Government Records and Qualities of a Records
Definition of government records

A government record is any recorded information or data in any physical format or media
created or received by a bureaus and department during its course of official business and
kept as evidence of policies, decisions, procedures, functions, activities and transactions.
In order to serve as evidence, a record must possess the following set of attributes and
be part of the recordkeeping system that provides the necessary information to document
accurately the policies, decisions, procedures, functions, activities and transactions for
which the record was created or collected –
a) Content – the content of a record refers to the information or idea the record
contains; b) Context – the context of a record comprises the information about the
circumstances in which the record is created, transmitted, maintained and used (e.g.
who created it, when, to whom was it sent, why); and
c) Structure – the structure of a record means the physical and/or logical format of the
record, and the way parts of the record related to each other (e.g. the structure of an
e-mail record covers its header, body, attachments and corresponding reply).
Records are an integral part of business processes and must be managed and retained
for as long as they are needed to support the functions of a bureaus and departments
and to provide evidence of decisions and activities.
It is the Government’s policy to require the establishment of a comprehensive records

management program in each bureaus and department to ensure that records as
evidence of policies, decisions, procedures, functions, activities and transactions are
properly kept and managed.
Qualities of a record
In order to serve as reliable evidence of decisions and activities, records must have
qualities of –
e) Authenticity – an authentic record is one that can be proven (i) to be what it purports
to be; (ii) to have been created or sent by the person purported to have created or sent
it; and (iii) to have been created or sent at the time purported;
f) Reliability – a reliable record is one whose contents can be trusted as a full and
accurate representation of the transactions, activities or facts to which they attest and
can be depended upon in the course of subsequent transactions or activities;
g) Integrity – the integrity of a record refers to its being complete and unaltered; and
h) Usability – a usable record is one that can be located, retrieved, presented and
interpreted. It should be capable of subsequent presentation as directly connected to
the business activity or transaction that produced it.
Importance of Identifying Vital Records

The process of review should include the particularly important task of identifying vital
records. Vital records (also referred to as essential records) are those records needed
by the institution to support its own recovery after a disaster or emergency. Other vital
records may also be needed to help the organization protect its assets and protect
employees, volunteers or the public. (This use of the term ‘vital’ is different from the sense
of a vital record as a document of a significant life event, such as birth, marriage or death.)
The vital records of an archival institution might include its accession records, which
identify everything in the institution’s custody or under its control. Other vital records
might
be staff and volunteer contact information, needed to locate everyone in an emergency
and ensure they are safe; and reference room or building entry registers, which can
identify anyone in the facility at a particular time, so everyone can be located and protected
in an emergency. Other vital records might include building leases, essential service
contracts or other documents that prove the institution’s rights and responsibilities. Once
these vital records are identified, the archivist needs to develop mechanisms for protecting
them and build that guidance into her institution’s emergency plan, discussed later, so
action can be taken to protect and access the records in an emergency.
LESSON 2: Electronic Records: Challenges and Needs
An electronic record means a record generated

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

Electronic records present unique challenges in RM because of –
e) the fragility of the media (e.g. magnetic tapes and CD-ROMs) upon which they are
recorded. These media are inherently unstable, requiring specific storage conditions
and are highly susceptible to damage during handling and use;
f) the dependency on technology to allow access and use. Unlike paper records which
require no further technology to interpret the information therein, electronic records
cannot be read directly without the aid of computer software and hardware to interpret
the binary codes used to represent letters, numbers and figures and so on. Electronic
records can be lost because they cannot be read or understood due to hardware and
software obsolescence;
g) the ease of manipulation (i.e. updated, deleted, altered intentionally or inadvertently)
without being discovered; and
h) the absence of self-evident and ready contextual information (e.g. who created it,
when, to whom was it sent, why) to enable that the records are understandable and
usable over time.
Need for electronic records management

In the era of e-government, due to the widespread use of desktop computers and
communication/decision making through e-mails, a significant portion of electronic
records is created and received in an unstructured computing environment where – a)
business processes and workflows are not well defined;
d) the user has relative autonomy over what information is created, sent, and stored
(e.g. an e-mail and its attachments); and
e) accountability for recordkeeping has not been well defined.
The characteristics of electronic records coupled with the unstructured computing

environment may give rise to the following risks in Records Management – a)
uncontrolled accumulation of records, documents and data;
f) inadequate or incomplete keeping of records;
g) inadvertent destruction of records;
h) unauthorized tampering with records; and
i) inadequate or lack of contextual information of records.
To deal with the challenges for managing electronic records, there is a need to develop
policy, strategies and tools to ensure that government electronic records are managed
properly and effectively. Electronic Records Management, applying records management
principles and adopting electronic means, primarily an electronicrecordkeeping system
(ERKS) to keep and manage records, is a proven solution.
LESSON 3: Hybrid Records Management Environment
Although many records are created or

received
in digital format, non-electronic records will
co
exist with electronic records for some time
for
various reasons, such as –
d) paper is still the preferred medium by many people;
e) records such as contracts, deeds, tenders, supplies or accounting records may need
to be retained in their original paper format to ensure their authenticity and/or to meet
regulatory or legal requirements; and
f) non-electronic records which are inconvenient or difficult to be digitized, e.g. bulky

books, oversized maps, audio/video tapes, exhibits may have to be kept in their
original formats.
The co-existence of electronic records and non-electronic records creates a hybrid RM

environment. Under this environment, it is important to maintain the links between related
electronic and non-electronic records to ensure that the records are complete and the
necessary contextual information is captured to facilitate understanding of the records.
LESSON 4: Electronic Recordkeeping System
An electronic recordkeeping system is an

information/computer system with the necessary
records
management capabilities designed to electronically
collect,
organize, classify and control the creation, storage,
retrieval, distribution, maintenance and use, disposal and
preservation of records.
Anticipated benefits of Electronic Recordkeeping System A properly
designed and comprehensive records management program supported by an electronic
recordkeeping system provides ready access to relevant information about business
activities, facilitates collaboration across workgroups, supports decision making and
provides evidence of official transactions. These will bring about the following key
benefits –
c) better governance and greater accountability;
d) enhanced operational efficiency and reduced cost for storing records; c)
improved organizational compliance with legal and regulatory requirements; d)
higher efficiency and effectiveness in managing electronic records; e)
strengthened security and access control to records;
h)better sharing of information; and
i) better preservation of corporate and community memory.
LESSON 5: Information Technology Requirements
The records manager also has to

consider
information technology
requirements.
Buying a desk and chair can be an
investment; good quality furniture will
last
for decades or centuries. But computer
technology is not a one-time cost. As long
as computer manufacturers and software designers keep making new systems and tools
(and planned obsolescence seems to be the mantra of many technology companies),
computer –users
ELECTRPM have
Records to keepManagement
and Property pace, so equipment, software
| Module 1 | Ms. and
DIANA P. related
DELA CRUZ tools need to 57
be
replaced with painful and expensive regularity.
Budgeting for technology, therefore, involves planning not just for the cost of purchasing
hardware, software, licenses and supplies in the first place but also for upgrades, training,
maintenance, repairs and replacement. The need for continuous improvement in
information technologies is particularly acute if the institution has taken on responsibility
for managing digital records and archives. But even if the institution is not responsible for
its sponsor agency’s digital records, it will still need high-quality, well maintained
information technologies, to support tasks such as accessioning, arrangement and
description, location management, digitization, reference and access. An archival
institution needs:
❑ adequate and up-to-date hardware and software, including servers, peripherals (such
as printers and scanners) and software licenses and contracts;
❑ reliable technical support services, including training, software installation, repairs and
upgrades, troubleshooting and maintenance of facilities and equipment;
❑ the highest quality security systems and services, including remote storage and back
up systems for digital archives and institutional records, firewalls to prevent
unauthorized access to the institution’s computers and strict protocols for the
management of passwords and access to systems and data; and
❑ technical and design support for developing and maintaining web pages, virtual
exhibits, internet-based resource information and online reference services.
LESSON 6: Trends in Electronic Records Management and

Information Management
Even though more businesses than ever are

investing in new technologies, using
physical
records continues to be a fact of office life. This
can be attributed to the increased use of equipment
that enables employees to create physical records
from electronic media. Copiers, printers, and
facsimile machines all have the ability to interface with office computer systems to
produce large volumes of physical documents.
Other reasons for continued popularity of physical records are more personal and
individual: paper requires no additional equipment for viewing; people can write on and
annotate physical documents; and paper is easily transportable.
People who have grown up reading from a screen are comfortable with that medium. Will
this comfort of reading from a screen change the dependence on physical documents?
This change in work and learning methods could help reduce physical records in the
future. As a consequence of the current information explosion, records managers must
deal with increasing numbers of records—both physical and electronic.
Electronic Records
An electronic record is a record stored on
electronic
media that can be readily accessed or
changed. A
piece of equipment is required to view and
read or
listen to electronic records. With the
development
and use of application software on personal
computers, letters, memos, and reports were
created
electronically; however, the purpose of these
systems was to facilitate the creation of physical
records. As technology has advanced, true electronic
records are in use today; i.e., records created, distributed, used, and stored in electronic
form. The contents of these records are accessible by machine.
The challenge for the records manager is to ensure that all records are what they appear
to be. Increases in fraud and theft of electronic records have left records and information
managers desperate to ensure the safety and security of the organization’s valuable
resources.
To that end, each person responsible for electronic records follows the records
management storage and retrieval procedures set up for the organization. Consistently
following procedures helps protect the company in legal actions. The same benefits of
following proper records management procedures for physical records also apply to
electronic records: The information is available at the right time to help make effective
decisions.
Electronic Mail
Electronic mail (e-mail) is a system that
enables users to compose, transmit,
receive,
and manage electronic documents and
images
across networks. A variety of electronic
mail
systems allow users to write and send messages
via computers and software.
E-mail is now the primary mode of communication between employees in corporations

and governmental agencies. The many advantages of using e-mail include its ease of use
and short delivery time. The message- delivery process of e-mail is nearly instantaneous
on some networks. Unfortunately, e-mail has a potential for abuse and disaster. Records
and information managers have developed policies related to electronic records for their
organizations. Employees must follow the policies developed for effective and efficient
management of electronic records.
Many questions related to records management and e-mail must be addressed by records
managers. E-mail communications can be used in a court of law. What procedures are in
place to respond to a court order to produce e-mail records? How do you maintain the
integrity of a record? Can you keep it confidential? How long do you keep an electronic
mail message? Is it acceptable to send personal e-mails over the organization network?
These questions are only a few of the ones that must be answered as more and more
messages are sent and received electronically. Records and information managers work
with Information Technology departments to determine the feasibility of storage. Many
organizations are changing their archiving policies because the volume of e-mail is
expanding.
Other Electronic Records
Wikis, blogs, podcasts, webinars, online forums, social media sites and tweets are some
of the newer modes of electronic communication. Recorded information on these media
can be official records; or they can also be unstructured and not considered records.
A wiki is a page or collection of web pages that allows people who access the site to
contribute or modify content. Wikis allow users to work collaboratively, updating each
other’s entries or creating new entries. Wikis are used in business to provide product
information or use instructions, gather feedback from product or service users, and
communicate on other issues.
A blog (short for the term web log) is a shared, online journal. The journal is hosted by
a company, organization, or individual who makes regular entries called posts. The posts
contain text comments on the blog topic. Some blogs also contain graphics or video.
Entries are usually shown in reverse-chrono-logical order. The blog host may allow
readers to post comments or replies to the blog entries. Blog can also be used as a verb,
meaning to post content to a blog. A blogger is a person who contributes to a blog.
A podcast is a broadcast sent over the Internet to receivers who hear and/or view the
information via computers, MP3 players, or other electronic devices. Early podcasts were
often received using iPods, thus the name pod-cast. A podcaster is the organization or
person who creates and broadcasts the content of a podcast. A podcast may be audio
only or it may contain video and audio. Many podcasts are free to receivers. For some
podcasts, receivers have to pay a fee. Receivers may subscribe to an RRS feed to receive
podcasts. RRS stands for really simple syndication and is the technology used in
creating the feed. Updated information from the feed is automatically downloaded to the
subscriber’s computer and can be viewed at his or her convenience.
A webinar (short for Web seminar) is a presentation given over the World Wide Web.
Videoconferencing is used so that participants and the presenter can interact, asking
and answering questions. The participants may be in a special room designed with
cameras
and other equipment for videoconferencing or they may use a webcam and a personal
computer to take part in the webinar.
An Internet Forum, or online message board, is a place where people can post and
read messages. Browser software is used to read and post messages to the forum. The
messages may be sorted into discussion topics or subjects. Messages about a particular
topic are called threads.
Social Media refers to websites and applications that are designed to allow people to
share content quickly, efficiently, and in real-time. While many people access social media
through smartphone apps, this communication tool started with computers, and social
media can refer to any internet communication tool that allows users to broadly share
content and engage with the public. The ability to share photos, opinions, and events in
real-time has transformed the way we live and the way we do business.
A tweet is a short message posted on the Twitter social network website. The messages
can be posted or viewed on a computer or a mobile phone. A tweet is similar to a blog
post or an e-mail, but shorter—usually limited to 140 characters. Tweeting has some
business –applications
ELECTRPM in announcing
Records and Property sales,
Management meetings,
| Module or other
1 | Ms. DIANA information.
P. DELA CRUZ For example,
62
if you are running late to a meeting, you might post a tweet letting others know where
you are and why you are late.
Document Imaging
Document imaging is an
automated
system for scanning, storing,
retrieving,
and managing images of physical
records
in an electronic format. A physical
document is scanned into a computer file,
thus creating an electronic image of the
document. Scanned files are usually large; consequently, optical disk storage is
recommended.
Textual data can be converted electronically using optical character recognition (OCR)
software. Lists of key words are created for each scanned file. An image and text
database are developed enabling a search by key words to find a document in a matter
of seconds. Once found, the document can be sent to the requester by fax, computer-to
computer communication, or a physical copy.
The Internet and Electronic Commerce

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

information
about themselves and their products. They
also
conduct business using these sites. A broad
definition of e-commerce is an electronic method
to communicate and to transact business over
networks and through computers. In other words, e-commerce is the buying and selling
of goods and services using the Internet and other digital communications such as
electronic funds transfer, smart cards, and digital cash.
Complex, sophisticated e-commerce systems use a combination of technology: the

organization’s databases, server applications, and browser software to display the
transaction. For example, when you decide to buy something from an e-commerce site,
you create an account. Your account information is entered into a database—you, as the
user, are creating a record for the company. The record is stored in the company’s
database until the next time you look at the company’s website. Companies utilize
“cookies,” which are embedded information stored on your computer. When you visit the
company site again, the cookie sends information about you to the site so that you can
add purchases or edit your account.
As you buy more products, the company tracks your particular taste in products. If you
haven’t purchased anything for a while, an e-mail may be automatically generated to let
you know of new products that match your previous purchases. The company is able to
generate new business based on previous business. This process is called niche
marketing, and it’s available in an all-electronic format.
Management of e-commerce bridges the gap between information technology, records

and information management, and the company’s legal departments. Cooperation
between and among these departments ensures a smooth flow of customer service, sales,
and evidence of the transactions.
Electronic File Transfer and Data Interchange

The business processes of electronic file transfer and data interchange are another way
that organizations use digital communications.
Electronic fund transfer (EFT) provides for electronic
payments and collections. It is safe, secure, efficient, and
less expensive than paper check payments and
collections. Many organizations deposit their employees’
pay by using EFT.
Electronic data interchange (EDI) is a communication procedure between two

companies that allows the exchange of standardized documents (most commonly invoices
or purchase orders) through computers. If the two companies/organizations have
compatible systems, the computers talk to each other through a connection. Walmart is
an example of a retailer that communicates with suppliers using EDI. For example,
suppose you buy a pair of jeans at a local retailer, such as Shoemart (SM) or groceries in
Puregold Supermarket. The item is scanned, and the inventory of these jeans and/or
grocery items is updated. If more jeans and/or grocery items are needed, the retailer sends
a purchase order to the apparel company or supplier warehouse by EDI. Whenthe
apparel company ships the order, an invoice is created and sent to the retailer, again
through EDI. The retailer can then pay the apparel company and/or supplier by electronic
funds transfer. Thus, no physical records are exchanged. Records and information
managers should ensure that the records transmitted in this business process are
authentic, correct, and usable.
Enterprise Content Management

“Enterprise content management (ECM) is
the term
used to describe the technologies, tools, and
methods
used to capture, manage, store, preserve, and
deliver
content or information across an enterprise or
organization.” This term and definition comes
from
AIIM, a global enterprise content management
association. An enterprise is a business venture or
company. Systems have long been in place for electronic document management (EDM)
and business process management (BPM). The broader term of ECM is an attempt to
deal with the complex world of information technology where one technology can become
outdated and be replaced with several new ones.
The value of ECM is not only in its technology, but also in the activities that involve people
and processes. Organizations need a solution that enables their users to share documents
and provides collaborative features (such as discussion threads, calendar items, and
additional project information) in a secure manner.
Many organizations realize that implementing and managing an integrated process is a

challenge. Organizations must invest in risk assessments, policy development, training,
management strategies, and other activities, as well as technology. This involves several
departments in an organization that work together to make ECM work in the organization.
As with all records, ECM acknowledges that not all
records
are created equal. The records have business,
operation,
legal, and/or regulatory value as discussed earlier.
ECM also
works well on unstructured information that exists
outside the
confines of database systems. The vast majority of
information in most organizations comes from e-mail, word
processing documents, digital images, and PDF (portable
document format) files. Industry experts place this type of information at 80 percent of
all information created for an organization.
ECM is a process that will help an enterprise and government benefit in efficiency and
effectiveness because of the combination of people, processes, and technology. Because
of the information explosion, most new information is stored on some type of electronic
media. Records and information management professionals are concerned about the
management of these records. In the next section, you will learn about the legal
considerations for records management.
ecords management is responsible for
the efficient and systematic control of
the creation, receipt, maintenance, use and
disposition of records, including processes for
capturing and maintaining evidence of and
information about business activities and
transactions in the form of records. We all rely
on information to help us work effectively and to build the knowledge for ourselves and
the Organization.
Records Creation is the organization’s operation wherein exchanges of written ideas

between two sources occur. At this point, the life of the record begins. It is also the act
of collecting records and retaining them in records keeping system.
Information is “data, ideas, thoughts, or memories irrespective of medium.” Information

sources are considered “non-records”: they are useful but do not provide evidence.
Examples include journals, newspapers, publications, or reference sources.
Documents are any “recorded information or objects that can be treated as individual
units.” Examples include works in progress such as draft communications or “to do” lists,
and transitory records such as emails confirming a meeting or acknowledging receipt of
a document.
Records are “information created, received, and maintained as evidence and information
by an organization or person, in pursuance of legal obligations or in the transaction of
business.” Examples include final reports, emails confirming an action or decision,
spreadsheets showing budget decisions, photographs or maps of field missions, which
need to be kept as evidence.
Archives are those records that have been selected for permanent preservation because
of their administrative, informational, legal and historical value as evidence of official
business of the organization or institution.
LESSON 1: Concepts/Guides in the Control of Creating

Records
1. The Measure of Necessity – Any paper that contributes, within reasonable

directness, to the prompt completion of any process in the agency, or which promotes
or protects the interest of their parties is NECESSARY and must be produced. Any
paper not fulfilling the minimum requirements is UNNECESSARY, and should not
therefore be produced.
2. The Basis for Simplicity – Every paper should be prepared in the simplest manner
possible by using the following: commonly known, clear, and specific words; short and
direct sentences; one idea for a paragraph; and only one subject for a document or
communication.
3. The Rule of Substitution – It is always an advantage to substitute the simple for the
complicated; the informal for the formal, as long as the desired results are achieved.
4. The Rule of Simplification – Complicated procedures are usually time-consuming
and expensive. The rule forces us to seek methods of operation that are easier, more
direct, better and faster.
5. The Measure of Good Supervision – This is the art of continuously applying one’s
foresight, initiative, resourcefulness and responsibility to the work at hand.
6. The Spirit of Teamwork – This attitude among creators minimizes the production of
unnecessary copies of a particular period.
LESSON 2: Major Fields in Records Creation

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

The term directive is applied to any issuance of an organization that guides, instructs
and informs employees in their work. This includes formalized statements of policy and
procedure.
Administrative Issuances are written instructions which contain decisions, define

functions, assign responsibility and delegate authority, guide administrative relationship
to carry out such functions and responsibilities, and provide for appropriate administrative
controls.
Kinds of Administrative Issuances

• Executive Orders • Administrative Orders
• Proclamations • Travel Orders
• Memorandum Circulars • Department Orders
• Budget Circulars • General Memorandum Circular
• General Circulars • Office Memorandum Circular
• Office Circulars • Office Memorandum Order
• Office Orders • Presidential Decrees and Letters
• Special Orders of Instructions
The Purpose of Directives / Instructions Management is:

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

• Policy • Information Releases
• Procedures
Directives Classified According to Form • Numbered Letters

• Notices
• Orders
• Handbooks
• Manuals
• Regulations
• Bulletins
• Circular
• Guides
• Standard Operating Procedures
• Supplements
• Policies
• Standard Practice
Importance of Directives
• Pinpoint responsibilities.
• Help prevent repetitive judgments on routine matters.
• Encourage and promote cooperation by delineating work relationships.
• Explain the work procedure thus reducing confusions and doubts.
• Help instruct supervisors & employees in their routine tasks, minimizing lost time.
• Help supervisor play a more positive role and improve the operations of his groups
by becoming more fully involved in work.
• Help condition people for changes that will occur within the organization by
presenting the plan in writing before it goes into effect.
Correspondence Management
A correspondence is conversation reduced into writing. It should convey facts and
thoughts in simple, readable and understandable language. Unprecise correspondence
only serves to confuse readers. Government correspondence consists of letters,
memoranda, endorsements, and directives including written or printed matters.
Characteristics of a Good Correspondence

• A purpose which is critically necessary.
• Attractive in form.
• Language must be suited to its purpose and the understanding of the reader.
• Exemplify the use of courtesy, good judgment and tactfulness.
• Brief and sincere.
• Free from overused words and stereotyped expressions.
The 4-S Formula

1. Shortness
2. Simplicity
3. Strength
4. Sincerity
The 5-C Formula
1. Complete
2. Concise
3. Clear
4. Correct
5. Courteous
Tips in Writing Letter

• Be direct.
• Avoid using clichés
• Read the letter over.
• Give your letter a warm personal tone.
• Organize your thoughts before dictation.
Ways of Controlling the Volume of Correspondence

• By elimination
• By substitution
• By controlling copies
Good Correspondence Will Result in

• Fewer inquiries, replies, transmittals and copies.
• More satisfied, correspondence, useful and valuable records, and more executive
time for non-paper activities.
• Less money, time and people involved in correspondence-making.
• Better documentation and reference material classification.
Forms Management
A form may be a piece of communication, letter, or document usually printed or
mimeographed or produced in some other ways whose contents are either complete or
may be completed by filling in the blanks or spaces provided for.
Forms may be classified according to:
• Office function: purchase forms, sales forms, accounting forms, correspondence
forms.
• The authority in which they are used: agency forms, bureau forms, uncontrolled
forms, optional forms and standard forms.
Forms Management Program – A thoroughly planned program aimed at improving

operation’s efficiency, reducing cost of operation, promoting public service and enhancing
public relations.
Forms Analysis – is a means of determining what should go on the form. It is applied in

the following areas:
• Necessity of the information
• Preparation of the information
• Handling of the information
Forms Design – the phase of agency management that provides the agency with the
technical skills necessary in producing forms and meeting the required standards.
Requirements of a Good Form Design

• Easy to read
• Easy to fill out
• Easy to process
• Pleasing in appearance
• Easy to dispose
FORMS ARE:
• Essential tools of management
• They are more than materials or papers with printed information and blank spaces
for the insertion of variable data
• They are considered road maps of the agency because they function both as
procedural instruments and instructions to individual employees, managers and
the public.
Forms Control – plan or method used by management to guide and regulate clerical
operations by controlling paperwork. Periodic forms review results in effective forms
control which is the objective of the forms program.
Effective Forms Gives Assurance that:

• Only needed forms, utilizing needed information get approved.
• All forms meet the standard design.
• Forms are used to achieve more efficient procedures.
• Forms are printed, distributed and replenished economically.
Importance of Forms in the Operation of the Agency

• They provide a way through which a uniform information may be given or obtained
in a convenient, logical and orderly arrangement
• They save time, reduce uncertainty by reducing error
• Eliminates needless labor
• Simplify and facilitate work
Reports Management
A report is an official statement of facts relevant to any activity, operation, program or
condition. It is usually written in narrative, statistical, graphical or questionnaire format.
Reports Serve Management

• To form the basis for discussion of the facts and for recommendations.
• To serve as a historical record of that phase of business activity.
Reports are Vital to the Agency:
• To evaluate and improve performance by measuring results in terms of quantity,
quality and speed of cost.
• Follow the progress of operations.
• Provide factual measurement of conditions rather than relying on opinions,
guesses or fragmentary verifications.
• Indicate deficiencies and need for timely corrective actions.
• Measure the progress of a program with respect to objectives.
• Determine program values as they relate to agency mission.
• Recognize trends, problems, deviations and other factors which affect the direction
and execution of the program.
Classification of Reports
• Simple or informal report which is a brief communication in letter or
memorandum format.
• Long or formal report which is a long and structured piece of communication.
Kinds of Reports
1. According to Purpose
a) Information Reports
b) Long Term Reports
2. According to Frequency
a) Recurring or Routine Report
b) One-Time or Special Report
3. According to Format
a) Narrative
b) Statistical
c) Graphical
d) Questionnaire
Principles of Good Report Writing
a) Principle of Brevity
b) Principle of Clarity
c) Principle of Scheduling
d) Principle of Cost
Records Maintenance
It is the creative processes of records management that includes the proper handling and
operations of records, the arrangement of written materials into usable filing sequences
and the selection of the most efficient type of filing (Files Management).
INTRODUCTION
e all know that person whose
W desktop is cluttered with so

many unorganized files and folders that
you can’t even see their wallpaper. No
naming convention, whatsoever. Several
shortcuts to the same program. Eight
empty folders, all named “New folder”.
This might be fine on a personal computer that’s only used for social media and games,
but if you’re trying to accomplish real work, this sort of mess is only going to lead to
mistakes and frustration. That’s why having a good system for managing files on your
computer is crucial if you want to be more productive and keep on top of things.
A file management system allows admins to set limits, permissions and roles for files.
This includes granting different levels of access to files and assigning roles for specific
users. This increases efficiency, as the right user receives the correct file.
An organization’s security strengthens with modern file management software. It offers

encryption for logins and supports secure connections. Furthermore, it allows admins to
receive data reports which help them improve organizational decisions.
LESSON 1: Files Management - Concepts
Files Management deals with keeping and maintaining
records in custody and the procedures of classifying,
filing and servicing them. It is the management of
official records that are properly and adequately
classified and arranged according to a Guide.
Filing is not easy. Anyone who has experienced delay and inconvenience because of
misplaced files knows filing is not that simple. Filing is how files are organized.
Important of Files
Files are important because they are sources of information for decision making and
problem solving. They are the memory for the storage of information in the form of
records.
Official files are the bloodstream of an organization. They are the documentary evidences
of an organization in the performance of its functions. And they are the important link in
the information system of the organization.
Why do we care about records?

• Records serve as the memory and evidence of public transaction.
• Records contain information that aid decision makers in ensuring transparency and
accountability in managing the affairs of the government.
• Records protect and confirm the legal and financial rights of the government and
its citizens.
• Records contain information of historical or cultural value.
Organizing the Files
No organization should permit bits and segments of its records to be scattered randomly
wherever they happen to be created or have accumulated. Neither should an organization
force the centralization of records without regard to the practical needs of the office who
uses the records.
Unless the organization is extremely small, with a file area exceptionally well located for
central access, a completely centralized file system is not desirable. On the other hand,
a completely decentralized system encourages duplicate filing, and usually results in poor
equipment utilization. With the file function distributed over the entire secretarial and
clerical staff, time loss may occur because file operation and maintenance are imposed
on people who may be unskilled in the intricacies of proper filing.
1. CENTRALIZED FILES – Records of common interest or value to many employees

within an organization can be placed under the control of one supervisor; these are
frequently called the central files. These records may include general
correspondences, orders, invoices, estimates, quotations, credit memos, etc.
Fully centralized filing can work reasonably well for the smaller agency where each
organizational unit has convenient access to the files. As the size increases, however,
certain records are better filed in the department where they originate and where they get
frequent reference.
Advantages of Central location and Control:

• Responsibility is easily placed.
• There is less duplication of personnel, equipment, supplies and space.
• Better quality of work results because of the full time work of records personnel.
• There is greater utilization of filing facilities.
• All related data are kept together.
• Uniform service is provided to all departments.
CENTRALIZED CONTROL CONCEPT
There must be:
• Uniform Policy Direction
• Uniform Procedural Practices
• Uniform Files Operation
• Uniform Files Classification
• Uniform Files Description
• Uniform Scheduling and Disposal Standards
• Centralized Mail Operations
• Centralized Messengerial Services
2. DECENTRALIZED FILES – Decentralized files are records that are made and used
by a single organization unit and maintained and controlled at the point of origin.
Decentralization of records should be considered when the following conditions are
present:
• Only one organizational unit is concerned with the records.
• The centralized filing unit location is too distant for adequate service.
• Information from the files must be immediately available.
• Constant reference is made to the records by one organization unit only.
In most organizations, some centralization and some decentralization is usually the

answer to the filing problems. Centralize or decentralize the files where efficient service
can be given.
Factors in Organizing Files

• Nature of the records created
• Size of the agency
• Location and area of office space
• Rate of accumulation
• Equipment and supplies
• Number of personnel to handle records
LESSON 2: Major Operations of Files Management
A large part of choosing file management is
the function of tools involved and how they
benefit an organization. Typically, an
organization or institution will benefit from
file management if they require advanced
organizing, editing and managing of files.
Furthermore, the more they need to track
things like workflow, the more important file
management becomes.
Classification Operation – The key to the agency filing system for official files is the
uniform filing system. It is one of the tools for a centralized control of records system.
FILE CLASSIFICATION SYSTEM
FILE
• A cabinet with records in it
• A folder containing records
• A collection of papers involving a specific name or topic
• A class of records in a separate group or series of filing drawers
• The operation involved in arranging records in a systematic order
CLASSIFICATION
• Process of identifying and arranging records
• To classify is to organize contents according to key items and relationship
SYSTEM
• The actual application of the file guide or scheme in the file container or equipment.
LESSON 3: Kinds of Filing System

Filing System – is a plan for identifying, arranging and finding records. The principles
that govern a good filing system are efficiency, economy and simplicity.
KINDS OF FILING SYSTEM
1. ALPHABETICAL – the most widely used form of filing. It stresses the name, subject
or the important item. It can be considered the foundation for practically all filing since
in most instances, when other forms are used; the arrangement of the smaller units is
usually alphabetical.
Under the alphabetical arrangement, all materials are filed in dictionary order. If the first
letter is not sufficient for determining the proper place of the material, the second, and if
necessary, the third and the fourth succeeding letters are used.
The advantages of alphabetical filling are:

• Direct reference is provided
• A quick check is offered on misfiled material
• And common names are grouped
It is sometimes considered the “natural way to file”.
1.1. Alphabetic Name Filing (by name of individual or organization) – Records that
are referred to by name of individual or organization should be arranged in strict
alphabetic sequence or successive continuity. Correspondence from individual
representing organization should be filed under the name of organization. It is used,
typically for perennial clientele and sales control records, a kind of filing in which
records for a single person or office is likely to accumulate.
The key to an effective name filing system is the correct use of alphabetical guides. Every
ten folders or so, a tab should indicate the alphabetical location, A, Ad, Ag, etc. Each of
these should be numbered on one end of the tab (A, Ad2, etc) and all folders within that
section should have their tabs marked with the same number. In this way, an entire file
can be scanned for misfiles in minutes. To save time, these alphanumeric tabs should be
lined up on the left and in different color than the name tabs, which should be staggered
on the right.
1.2. Alphabetic Subject Filing (by subject matter) – another modification of the
alphabetical arrangement of material is according to the subject or descriptive
feature.
Records which are referred to by subject matter they contain should be arranged
alphabetically by subject, title or caption. Subject captions must be brief and concise, and
of such nature that no doubt will exist as to what they cover. All records on a particular
subject should be kept together in as much as each selected record fits somewhere to
complete the story. Subject filing is helpful in indicating the main classification for separate
files in an office.
Common examples of subject filing include executive files, records between the central
office and its branches or extensions, interdepartmental written materials, researchers,
data clippings and notes.
Subject files are as famous as a file clerk’s bane. After all, it is often left up to the file clerk
to determine under what category to file a document – but if the clerk’s determinationis not
what the boss had in mind, recriminations are likely to follow.
It is important to keep an outline of the subject filing system with all its head and sub-
heads on the file clerk’s desk so that he or she can quickly refer to it when sorting
documents for filing. When a subject filing system is used, the file clerk must be familiar
with the nature of the agency business as well as the filing system, so that he or she can
intelligently evaluate the subject of a document.
1.3. Alphabetic Location Filing (by geographic location) – records which are referred
by geographic location should be alphabetically arranged by location name, which
maybe by country, region, province, city, municipality or barangay.
The geographical arrangement is easy to understand, simple and direct, and can cover
the overall work divisions, particularly that of sales. The files are generally less widely
than is frequently the case with the other basic arrangements.
2. NUMERIC OR NUMERIC FILING (by the number assigned to records) – records are
identified by the numbers assigned to them and are referred to by their respective
numbers should be arranged in numeric sequence. They are used for such materials
as bank checks, invoices, issuances and the like. The system of number can be one
to two types:
• Serial – to provide unlimited expansion

• Coded – to indicate specific types of items
Numeric filing is the most accurate and fastest filing method but has one serious draw-
back, you cannot find what you are looking for unless you already know its number.
Numeric filing will usually prove most efficient under the following conditions:
*When the records are more easily numbered the named.

• Definitely numbered cases, contracts, or jobs.
• Sharply defined groups, classes or subjects
• Records requiring extensive cross-indexing
• Records kept in several cabinet sizes or locations
*When a natural, permanent sequence suggests numbers.
• Continued activity prevents transfers
• Value remains long after transfer
• Value is closely related to dates of origin
*When records already bear identifying numbers.

• Orders and invoices known by numbers
• Merchandise records known by numbers
3. CHRONOLOGICAL FILING (by the date of the records) – simply arranges record
materials according to time sequence. Records to which primary reference is made
by the date of the records should be filed chronologically (in the order of time) by year,
month, or day as reference indicated.
The advantages of this filing system are simplicity, case of filing and a convenient signal
or reminder of unfinished work, which is shown by the material in the file with reference
to a specific date.
4. FUNCTIONAL SUBJECT-ALPHABETIC CLASSIFICATION SYSTEM (FSACS) –

the application of functional filing system is an excellent example of how records can
be evaluated the moment they are filed.
In this system records are arranged by subjects covering all activities and functions of the
organization. This system retains the simplicity of the alphabetic arrangement of subject
titles and brings together related subjects.
Steps in establishing FSACS

1. Analyze the functions of the agency and its records.
2. Make a list of all these functions and arrange them alphabetically.
3. Make a list of all subject topics pertaining to each function known as primary
classification.
4. Make a list of correlated subject topics under each primary classification and
arrange them alphabetically known as secondary topic or secondary subject
classification.
5. Under each secondary topic, group together other related topics pertaining to it
and arranged them alphabetically. These are known as the tertiary classification.
After completing these steps, prepare a FILE CLASSIFICATION GUIDE which contains
the various major subject headings, together with their respective primary, secondary and
tertiary subject classifications.
Factors in Selecting the Appropriate Filing System

Filing System must be:
• Comprehensive
• Adaptable
• Revisable
• Effective
• Logical
• Economical
• Simple
Procedures on How to Convert Old Filing System to New System

• Set a cut-off date.
• Classify and file all new records in accordance with new system.
• Transfer all current records to the new system when needed.
• Segregate non-current records and transfer to storage.
• Have files audit of new files.
INTRODUCTION
onfidentiality of information is a critical
C component of records management, and you

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

such as the transfer of permanent records to the National Archives. After appraising
agency records, National Archives of the Philippines (NAP) authorizes either theirdisposal
or their transfer to the National Archives for preservation and research. Agenciesmust also
receive NAP's approval before lending records outside the National and Local
Government Units, before retiring them to NAP-operated record centers, and before
transferring them to other National agencies, unless exceptions have been granted.
Finally, they must receive NAP's approval before establishing or relocating their records
centers and before converting permanent or unscheduled originals to microfilm ordigitized
records.
In contrast to disposition, "disposal" in National usage refers to only those final actions
taken regarding temporary records after their retention periods expire. It normally means
destruction of the record content, such as by recycling or burning the record medium. The
term is also used occasionally to mean the transfer of temporary records from National
and Local Government control by donating them to an eligible person or organization after
receiving NAP's approval.
LESSON 1: Records Storage, Inventory & Retention Program

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

practices to assure that records that continue to have value to the organization are stored
and retained (kept). A records retention program consists of policies and procedures
relating to what documents to keep, where and in what type of environment the
documents are kept, and how long these documents are to be kept. Ideally, the time that
a record should be retained is known when the record is created because the records
series is listed on a records retention schedule (RRS)—a comprehensive list of records,
indicating the length of time that the records are to be maintained.
Retention policies also allow destruction of records that no longer have value to the
organization. Storing records no longer needed is costly because more floor space is
used, more storage supplies and equipment are purchased (needed), and more labor is
required.
The Value of Records

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

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

Short-term storage – up to three years Permanent Storage
Helpful in conducting business operations Essential for the continuation or survival of
May be replaced at small cost organization
Active files of: Necessary for recreating organization’s legaland
• Business letters financial status
• Memos • Busines ownership records
• Reports • Customer profiles
• Bank statements • Student transcripts
Once a record is stored, it may not be stored forever. One critical step in creating a records
retention schedule is estimating the value of a record to an organization and determining
how long the record is useful. Understanding the four categories of records values—
nonessential, useful, important, and vital—is helpful when determining which records
should be retained (and for how long) and which records should be destroyed. Before
preparing a records retention schedule, an inventory of all records stored in an
organization—in individual offices or departments, in central fi les areas, or in off -site
storage locations—must be conducted.
Records Inventory
A records inventory is a detailed listing that could include the types, locations, dates,
volumes, equipment, classification systems, and usage data of an organization’s records.
It usually involves a survey conducted by each department, with a member of each
department assigned the task of inventorying its records and documenting important
information about those records. Some organizations may also conduct an electronic
records inventory or a vital records inventory, depending on the volume of records in those
categories. Survey information from all departments is incorporated into an organization-
wide records retention schedule. Some organizations use bar code and radio frequency
identification (RFID) technology to speed the records inventory process.A bar code is a
coding system consisting of vertical lines or bars set in a predetermined pattern that, when
read by an optical reader, can be converted into machine-readable language. In records
and information management, bar codes are used for tracking locations of documents,
folders, or boxes of re-cords. Bar code labels may be placed onindividual documents or
on folder and box labels. The use of bar code technology brings improvements in data
accuracy over keyboard data entry. Bar code technology is used extensively for
applications such as cataloging of books and fi les by libraries and archives.
Radio frequency identification (RFID) is

a technology that incorporates the use of
an electromagnetic or electrostatic radio
frequency to identify an object, animal, or
person. RFID is increasingly used as an
alternative to bar codes. The advantage of
using RFID is that it does not require direct contact or line-of-sight scanning. An RFID
system consists of three components: an antenna, a transceiver/reader, and a
transponder (the tag or chip). Using microchips to transmit encoded information wirelessly
through antennae, RFID tags are activated when placed in the transmission fi eld of a
reader. These tags convey encoded information that identifies documents, folders, or
boxes. Because information is transmitted automatically beyond line- of-sight, boxes do
not need to be unpacked to scan individual bar code labels on folders and/or documents.
The result is reduced labor costs and improved accuracy.
An example of the use of RFID is in the library of the Vatican in Italy. Two million pieces
of the library’s 40-million-piece collection, including 1.6 million books and centuries-old
manuscripts, will be tagged with RFID chips. Library staff will be able to complete the
annual inventory in 1 day. Previously, the library was closed for up to 1 month to complete
the task. The RFID chips will also allow library staff to monitor the condition of the books
and their locations at all times.
When conducting a records inventory, a portable RFID reader can scan up to hundreds
of folders in a matter of minutes. The RFID tags are read as the portable handheld reader
passes within inches of the folders. Depending on the size of the fi le room, complete fi le
room inventories can often be done in a matter of hours.
Information collected during a records inventory

includes types of records (official, record copy, or non-
record) and their media— paper, electronic, or image.
An official record is a significant, vital, or important
record of continuing value to be protected, managed,
and retained according to established retention
schedules. The official record is often, but not
necessarily, an original. Another name for an official
record is record copy, or the official copy of a record
that is retained for legal, operational, or historical
purposes. The record copy is sometimes the original. For example, a document printed
from an electronic fi le is often considered the official record rather than the electronic fi
le because the print copy can be read easily. It is durable, and it is easy to use.
The electronic fi le must still be retained for a week or two. However, the printed document
may be saved for two or three years, depending on the content. The office of record is
an office designated to maintain the record or official copy of a particular record in an
organization.
A non-record is an item not usually included within the scope of official records such as
a convenience fi le, a day fi le, reference materials such as dictionaries, and drafts. Non-
records should not be retained past their usefulness. Typically, non-records are created,
modified, and destroyed without formal RIM procedures and are not included in a records
retention program.
A records series is a group of related records that normally are used and fi led as a unit
and can be evaluated as a unit to determine the re-cords retention period. For example,
purchase orders for July are a records series. Bank statements retained for a year or
longer are also a records series. Some organizations may identify physical and electronic
records series for retention purposes that will be retained according to the records stored
on electronic media. The retention period is the time that records must be kept according
to operational, legal, regulatory, and fiscal requirements.
A records inventory is also a valuable tool for helping managers decide which filing
method (alphabetic, subject, numeric, or geographic) to use.
Records Transfer
Records may be stored in an active records area
for a period of time before being moved to another
storage area when they are no longer accessed
regularly. Records transfer is the act of changing
the physical custody of records with or without
change of legal title. In other words, records are
moved from one storage area to another, but they are usually still owned by the same
company. Records are transferred when they are no longer used frequently.
As records age, they are less frequently accessed and become inactive. Consequently,
dates on the records are also considered when deciding to transfer records. In most
cases, the active fi les contain the current year’s records plus those of the immediate past
year.
The final phase of the records life cycle is disposition. Records disposition is the final
destination of records after they have reached the end of their retention period in active
and/or inactive storage. Records may be transferred to an archive for retention, or they
may be destroyed. Inactive storage may be housed on-site or off -site. On-site storage is
storage of inactive (usually) records on the premises of an organization. Off -site storage
is a potentially secure location, remote from the primary location, at which inactive or vital
records are stored.
Archives are the records created or received and accumulated by a person or an

organization in the conduct of affairs and preserved because of their historical or
continuing value.
LESSON 2: Records Disposition Program

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

a government agency. This accumulation of records
naturally poses problems in terms of office space,
equipment and personnel. For lack of space and filing
equipment, records in some government offices at
times are piled on the floor, along the corridors, in dark
and humid corners, on top of filing cabinets, in the attics, and in some instances, at the
comfort rooms. These piles eventually become fire hazards and eye sores to the public.
Records Disposition Program is a pre-determined, well-arranged and coordinated plan
of activities for the retention, preservation and destruction of records in an agency or
institution. In order to minimize the unnecessary piling up of records, a sound program
of records disposition must be prepared and implemented. A Records Disposition
Program (RDP) reduces the volume of records kept in an office and, more important,
facilitates the retrieval of newly created or frequently used records. An RDP helps
minimize an agency’s expenditures for records management.
Objectives of a Records Disposition Program

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

A successful Records Disposition Program must have the following:
TOP MANAGEMENT SUPPORT

To a large extent, the success of the program depends on top management support. Top
Management must be aware of records management problems in the agency and the
need for their solutions. It must realize the value of records as vital tools of administration.
It must initiate a Records Disposal Program and help in its implementation. It must provide
the necessary tools, facilities, equipment and supplies for the program.
PROGRAM DIRECTIVE
A circular or directive from top management announcing the program should be issued.
Program implements should coordinate among themselves to ensure its success.
The circular should state the objectives of the program and identify the group or
organization which shall be responsible for its implementation and phasing.
PROGRAM RESPONSIBILITY
Records Officer
To ensure the success of the program, a central unit should be created. This body should
plan and coordinate the program and see to it that every unit shall be responsible for it.
Every unit should participate in it. Usually, the head of the Records Division is chosen for
this task.
Records Management Improvement Committee

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

Management Improvement Sub-Committees should be created to facilitate the appraisal
of records with a view to determine their retention periods. These subcommittees serve
as the counterparts of the Records Management Improvement Committee in the lower
levels of the organization. Each RMI Sub-Committee in the Division should be composed
of the Section Chiefs as members with the Chief of the Division as the Chairman, while
in the Regional Office; the members should come from the heads of branches with the
Regional Director as Chairman.
The Sub-Committees should undertake initial study and appraisal of all records under its
custody. The Sub-Committee’s major role is to recommend to the RMIC the retention
periods of the records of the Division.
PHASING OF THE PROGRAM

A timetable indicating the starting date and the projected completion date of the different
activities involved in the disposition program should be prepared with the cooperation and
assistance of the officials who have had a hand in creating the agency’s records, as well
as the file supervisors of units maintaining their own files.
Benefits of a Records Disposition Program
A Records Disposition Program can be expressed not only in its objectives but in its
accomplishment. First of all, the program:
SAVES SPACE
• By removing from the office those records no longer needed for daily operations;
• By removing from storage areas those records no longer needed; and
• By maintaining a regular and controlled flow of records from office to storage to
destruction.
SAVES TIME
• By clearing out unnecessary records from office files.
SAVES EQUIPMENT – it saves money:

• By preventing the unreasonable purchases of filing equipment to store inactive
records in office area;
• By providing for inexpensive storage system and equipment, and
• By releasing filing equipment for re-use through the destruction of unnecessary
records.
SAVES RECORDS
• By identifying the permanently valuable records so they can be given the kind of good
treatment they deserve.
Activities in Records Disposition Program
A. RECORDS INVENTORY
A RECORDS INVENTORY is a descriptive list of the record holdings of an agency. It is

usually done by RECORDS SERIES.
Before any records disposition program can be effectively installed and implemented, an
agency should first undertake an inventory of its records. This is the initial step in
developing the agency’s Records Disposition Schedule.
OBJECTIVES
An agency conducts a records inventory for the following purposes:
• To identify and locate its records;
• To determine the volume of its records holdings;
• To evaluate the age of its records; and
• To find out the present and future needs of the agency in terms of personnel, floor
space, equipment and the like.
PREPARING FOR RECORDS INVENTORY

Before undertaking an inventory, its objectives should be established and understood not
by the persons conducting the inventory but also by all other concerned officials and
employees. Those assigned to inventory must be familiar with the operations of the
different units of the agency. They must know where the records are filed or stored,
whether in safes, cabinets, storerooms, drawers and the like.
The sequence of the inventory and the procedure to be followed in conducting it should
be planned. The starting and completion dates should be set. The procedures should
be explained to all officials and employees concerned to secure their cooperation and
assistance.
ACTUAL INVENTORY
Considering that agency holdings are usually inventoried by records series and not by
individual item of file material, the volume of the records must be measured andexpressed
in Cubic Meters.
To guide those who are conducting an inventory, the following steps are recommended:
a. Identify the records series to be inventoried.
b. Determine the earliest and latest periods covered by the records series to be
inventoried.
c. Inventory by “file stations”. (A file station may be a cabinet or group of cabinets
placed separately).
d. Accomplish NAP Form No. 1, RECORDS INVENTORY AND APPRAISAL – Part I
(Records Inventory portion).
B. APPRAISAL OF RECORDS
RECORDS APPRAISAL is the process by which records are carefully and systematically
studied and analyzed for the purpose of establishing their respective values.
Continuing activities and transaction of any agency will necessarily result in the
accumulation of records. It is, therefore, necessary to evaluate and appraise records ona
continuing basis. The retention value of records must conform to changes in conditions
and circumstances of agency operations. Records Appraisal plays a major role in a
records disposition program because it is in this stage where non-current records are
determined for permanent preservation, for storage or for destruction or sale.
OBJECTIVES
• To establish a reasonable and acceptable retention period for various types of
records.
• To identify records of no value which should be destroyed immediately.
• To identify records that should be transferred from file stations to records storage
areas of the agency.
• To identify records of permanent (historical or research) value that should be
properly preserved or sent to the archives.
GUIDES IN APPRAISING RECORDS
Qualified and competent officials or employees engaged in appraising records can
perform their tasks easily if they consider:
a. Relationship of records under appraisal with other current operating records of the
agency;
b. Relationship of records being appraised with the existing workflow and other
prescribed functions of the agency.
c. Continuing value of the records as archival materials;
d. Definite areas for affecting economy of operations.
Since appraisal of records is a process that involves sound judgment, only qualified
personnel should be assigned to the task. These are men who have:
a. A thorough knowledge of the organization, including its history, policy, method,
procedure, operation and transaction;
b. A thorough knowledge of the basic laws, rules and regulations governing records
disposition;
c. An analytical ability, maturity of judgment, including imagination and special aptitude
in determining explicit values of records; and
d. A thorough understanding of the principles and objectives of records evaluation.
VALUES OF RECORDS
The values of records may be considered through the following perspective: first, from
the agency point of view, in terms of their immediate or future utility to the agency for
administrative, legal, or fiscal and second, from the archival point of view, in terms of their
permanent historical or research value. The latter involves documentary information with
enduring values, particularly about the agency, those which facilitate research, and those
which protect the civil, legal or property rights of individual person.
Essentially, records may be classified into two major value categories, namely:
a. Time value which generally refers to a specific period of usefulness; and
b. Utility value which concerns the nature of the usefulness of the records to the
agency’s operations.
TIME VALUE – Based on time, a particular record may be appraised as either temporary
or a permanent value.
1. Records acquire temporary value when they have served the purposes for which they
were created or when action on them have been accomplished or terminated.
However, administrative or legal considerations require that there are records to be
kept in the agency’s storage area as long as they can be useful in supporting claims,
complaints or cases that may be filed in the future by private, public or individual or
corporate entities.
2. Records of permanent value are those which are worthy of preservation because of
their administrative, legal or archival (research or historical) significance.
Records of this group are those that reflect:

• The agency’s organization and administrative history;
• The agency’s policies and the reasons for their adoption;
• The agency’s methods and procedures;
• The agency’s specific individual transactions, including personnel service, in so far
as they may be presumed to have a general and continuing interest; and
• The general, social, economic or other conditions which the agency dealt within its
transactions.
UTILITY VALUE – Temporary or permanent records are further appraised on the basis
of various categories of their usefulness. Those are:
Administrative Value
Records of this value as administrative tools to accomplish the mission of the
organization. Some examples are: Directive/ Issuance, Utilities and Services, Office
Methods and Procedures, Correspondence, Reports.
Fiscal Value
Records of fiscal value are those which serve as tools in discharging the financial
obligations of the agency. While these records also have considerable administrative
value, greater importance is given to their fiscal value as time goes by since they can be
used to protect the agency against any possible court of administrative action. Examples:
payrolls, vouchers, official receipts, budget estimate.
Legal Value
Records of legal value are those which states legal decisions and opinions, either of a
permanent or temporary character. These records generally given protection to the civil,
legal, property and other rights of the citizens. Examples: titles, contracts, and claims.
Archival Value
This refers to the historical or research significance of records or documents – values
which may be derived from records such as the creation and development of an agency,
its various policies and procedures.
a. Historical – This pertains to the utility of records as evidence in the narration or

interpretation of significant events, persons, entities and places in the nation’s past
long after their administrative, legal or fiscal value has expired. One example is
records dealing with an agency’s development – its organization, functions, policies,
standard operating procedures and the like.
b. Research – This deal with the usefulness of records as primary materials in studies
of methods, procedures, operations and the like, in education, engineering, medicine,
public administration and other fields. Examples are statistical summaries,
directives/issuances, journals, and manuals.
Valueless Records
These are record materials which are no longer useful in the operation of an agency as
well as the government as a whole.
C. ESTABLISHMENT OF RETENTION PERIODS
Records vary with respect to their period of usefulness to the agency which maintains
them. The retention period of each record series should, therefore, be determined by the
agency itself once received or created to satisfy all pertinent administrative, fiscal and
legal requirements.
A RETENTION PERIOD – refers to the specific period of time established and approved
by the National Archives of the Philippines as the life span of records, after which they
are deemed ready for permanent storage or destruction.
GUIDES in establishing the retention periods:

• Importance of the records as a tool in administrative and substantive operations;
• Frequency with which an agency needs the records in its current operations;
• Values of the records determined after appraisal;
• Costs involved in retaining the records in the agency as compared to its immediate
disposal;
• Relevance of the records in terms of the agency’s functions and procedures.
D. RECORDS DISPOSITION SCHEDULE
RECORDS DISPOSITION SCHEDULE (RDS) – refers to a listing of records series by

organization showing, for each records series the period of time it is to remain in the office
area, in the storage (inactive) area and its preservation or destruction.
A Records Disposition Schedule should:

• Cover all records created and maintained by an agency;
• Provide for an accurate description of each record series;
• State the number of years during which a record series should be kept before it is
either transferred to a Records Center or to the archives or finally sold or destroyed.
GUIDES in the Development of RDS
• NAP Form No. 1, Records Inventory and Appraisal
• NAP Form No. 2, Records Disposition Schedule
• NAP General Circular No. 1 and 2 series 2009
o General Records Disposition Schedule (GRDS) common to all Government
Agencies
• NAP General Circular No. 3 series 2011
o General Records Disposition Schedule (GRDS) common to all Local Government
Units (LGUs)
E. PREPARATION SUBMISSION and APPROVAL of RDS
The Records Disposition Schedule (RDS) should be prepared and reviewed by qualified
agency personnel before it is approved by the Agency Head. It is then forwarded in four
(4) copies to the Executive Director, National Archives of the Philippines for review and
approval. The original of the approved RDS is returned to the agency.
An approved Records Disposition Schedule should be regularly updated through revision

or amendment to reflect significant changes in the functions of the agency. Such
amendment or revision, however, is subject to the approval of the Executive Director,
National Archives of the Philippines.
F. APPLICATION OF THE RDS
A Records Disposition Schedule remains fruitless unless it is applied. Where there is no

existing schedule or where it is overlooked, valueless records will likely accumulate to
bring more costs for the agency. The schedule guides all records personnel in the
disposition of records. To derive maximum benefits from the RDS, the agency should fully
and systematically implement it.
ACTIVITIES INVOLVED in the APPLICATION of RDS are:
• Retirement of inactive and non-current records (temporary or permanent) by transfer
from active files to a more economical storage area;
• Retention of active records;
• Preservation of records of permanent value; and
• Disposal of records which are no longer needed for whatever purpose.
To ensure the effective implementation of an RDS, the following control measure should
be made:
• Periodic review of files to determine other records to be scheduled for disposition as
well as periodic review of approved retention periods;
• Annual check of disposal activities through the inspection of storage files and
examination of disposal reports;
• Inspection of facilities in the maintenance of current records and preservation of
permanent records; and
• Review of request for additional filing equipment. Filing cabinets periodically emptied
of valueless records disposed of should be reused for incoming records.
a. RETENTION OF ACTIVE RECORDS
One of the consequences of the application of a Records Disposition Schedule is the

retention of active records. The general rule is to retain those that are absolutely needed
in day-to-day operations of the agency. Such records include those that deal with
completed business but which may be used as reference in continuing agency
transactions.
b. PRESERVATION OF PERMANENT RECORDS
Permanent records should be preserved because of the value attached to them.

Consistent with public interest, their preservation requires special treatment to prevent
their loss, destruction, mutilation, and the like, and to maintain their originality, integrity,
and reliability.
Since these records have unlimited retention periods, they should be preserved as soon
as practicable immediately, upon their determination. Records of archival value, should,
however, be kept in the National Achieves.
c. TRANSFER OF RECORDS
To reduce agency files, all non-current records or records that deal with completed
transaction but are not needed in the day-to-day agency operations should be
systematically transferred to appropriate records storage areas. Inactive files or records
no longer referred to but whose retention period has not yet expired should also be
transferred.
Inactive or non-current records should be kept in a separate storage area in the agency,
or in the Records Center, National Archives of the Philippines.
1. Transfer to agency records Storage area
Efficient storage of records is vital to an agency’s cost reduction program. The

records in the storage areas are not simply dumped and forgotten. They should be
filed and maintained systematically. Equipment should therefore be provided for
filing purposes that shall utilize to the fullest every available unit of floor space with
the necessary pinpoint reference service conveniently and economically furnished.
Such storage point may be located in less accessible places because referrals for
records in these centers would not be frequent. However, these records should
easily be retrieved when needed. Naturally, these records should be placed under
the responsibility of qualified and dependable personnel with sufficient authority to
carry out the objectives of transferring such records to storage areas.
2. Transfer of Records to Records Center, National Archives of the
Philippines.
Records of temporary value which may still be needed for reference purposes may
be transferred to the Records Center, NAP, subject to the approval of its Executive
Director who should provide the necessary instructions or details for the transfer of
such records. Documents in the Records Center are available for use by the public,
subject to rules and regulations as may be prescribed by the Executive Director,
National Archives of the Philippines.
3. Transfer or Loan of Records from the Agency to Another
a. Records may be permanently transferred from one agency to another subject to

the following conditions:
1. When specifically authorized by law, a decree or an executive order.
2. When required in the performance of a function that has been transferred
through statute, a decree or an Executive Order.
3. When the Executive Director of National Archives of the Philippines
authorizes the transfer.
b. Records of abolished, merged or reorganized agencies or units of agencies:

Unless otherwise provided by law, decree of executive order, all records of
abolished agencies or units thereof should be transferred immediately to the
National Archives of the Philippines for inventory, appraisal, preservation or
disposition (Rule 37, Article 58, RA 9470 dated May 21, 2007).
c. Loan of Records
1. Loan of records for an indefinite period may be arranged subject to the
approval of Executive Director, National Archives of the Philippines.
2. Loan of records for a specific period may be arranged in accordance with
regulations if such loan is in the interest of the service.
Nothing, however, should prevent heads of agencies from furnishing records in their
custody for use by the Courts of Justice, the Congress of the Philippines or its
committee, the quasi-judicial or administrative bodies duly authorized to require the
production of such records. (RA 9470)
4. Transfer to the Archives Collection and Access Division, National

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

Archives Collection and Access Division for preservation. The transfer of records to
the ACAD is likewise subject to the rules and regulations that the Executive Director
of the National Archives of the Philippines may prescribe from time to time. Extreme
care should be taken in the inventory, packing and delivery of these records to
preserve their physical and intrinsic make-up.
d. DISPOSAL OF RECORDS
DISPOSAL OF RECORDS is the act of removing valueless records from existing agency
files or storage areas and getting rid of them by selling, by landfill, by shredding or by any
other way of destroying them.
1. Modes of Disposal
Destruction means any action that would ruin or reduce to nothing the structure,
organic composition or condition of the physical material that makes up a record.
a. Sale – The disposal of records by sale should be considered if the transaction

would afford the government a fair return. Under the law, the disposal by sale of
valueless records of the government may be made only through public bidding
to determine the highest price available. Each agency shall conduct public
bidding for the disposal of its valueless records following the pertinent provision
of public bidding and awarding of contracts of RA 9184. The NAP is furnished
with a copy of the contract.
b. Shredding – This is a process by which records are first fed into a machine to
be cut into small pieces to prevent unauthorized reading or reproduction of its
contents.
c. Landfill – Disposal of solid waste, such as papers and the like, which are buried
between layers of dirt and other materials in such a way as to reduce
contamination of the surrounding environment. It is a carefully designed structure
that is built into or on top the ground in which trash is isolated and will be kept
dry and will not be in contact with air.
However, the National archives of the Philippines shall conduct public bidding for the sale
of valueless records every year to determine the Official Buyer for the government’s
valueless records and whose services may also be availed by other agencies.
Agency records are then sold at approved prices to the authorized buyer. Payment of
sale of valueless records shall be made to the Cashier of the owning/requesting agency.
Proceeds generated from the sale of valueless records shall be remitted to the National
Fund, Local Government Fund or to the Corporate Fund.
2. Records Disposal Procedure
The National Archives of the Philippines enjoin all government agencies to:
a. Request NAP Authority to Dispose – Refrain from selling or destroying any record
in its custody without having first secured authority from the Executive Director
of National Archives of the Philippines.
b. Request for Disposal – Each agency shall submit to the National Archive of the
Philippines four copies of accomplished NAP Form, “Request for Authority to
Dispose of Records” duly approved by the Agency Head or his authorized
representative.
c. Records Examination – Upon receipt of the request for authority to dispose of

records, the Chief of the Records Management Services Division, acting for the
Executive Director, assigns a Records Management Analyst, to appraise and
examine the disposable records of the requesting agency and recommend the
manner or method of disposal, such as by sale, shredding landfill or burying in
the “Records Management Analysis Report”.
In cases where the records requested for disposal are declared as non-recorded
materials by the requesting agency, it shall be the sole responsibility of the NAP to
determine whether these records are considered as such. If found to be non-recorded
materials, they can likewise be included in the actual disposal of valueless records
provided they are no longer needed in the everyday operation of the agency.
d. Disposal Authority – The Executive Director of the National Archives of the

Philippines is authorized to direct destruction or disposal of records and issue
NAP Form “Authority to Dispose” indicating the manner of disposal.
The NAP shall issue the authority to dispose of records to the requesting agency who
conducted its own public bidding only upon receipt of a copy of the contract.
e. Actual Disposal – The agency concerned shall be notified of the schedule date
of actual disposal and likewise notify the Commission on Audit representative to
witness said disposal. Actual disposal shall be witnessed by the representatives
of NAP, COA and the agency concerned.
f. Certificate of Disposal – NAP Form “Certificate of Disposal” shall be prepared in
three copies indicating the records series, manner, date and place of disposal,
volume of records disposed of and the amount and official receipt number in case
of sale.
The original copy shall go to the agency concerned, another copy for the NAP and another
for the COA. It shall serve as report on the disposal of valueless records.

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EULOGIO “AMANG” RODRIGUEZ

INSTITUTE OF SCIENCE AND TECHNOLOGY

Module 1: The Field of Records Management

Module 2: Electronic Records Management – Key Concepts

Module 3: Records and Archives Management Program

Module 4: Records Creation and Control

Module 5: Files Management

Module 6: Records Retention and Disposition

Module 7: Basic Principles in Property Management

Module 8: Acquisition of Government Property

Module 9: Utilization of Government Property

Module 10: Disposal of Government Property

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

INTRODUCTION: Information Growth

T information. This time in our history is frequently

LESSON 1: Records Management

Records Management is the systematic control

The ISO-14589 definition for Records Management is as follows: "Records Management

Records management is not new. Records

The National Archives of the Philippines

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

The term record has a specific meaning in

ISO 15489 defines a record as information created, received, and maintained as

1) In written form or any material;

Document Management Records Management

LESSON 3: Benefits of Records Management

Records Management is about complying with legal requirements

Often when an e-discovery request catches an organization totally unprepared, the

Records Management is about ensuring accountability

When speaking about accountability and transparency in government,

Records Management is about preserving assets

Records Management is about efficiency

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

Records Management is about being prepared

Records Management is about coming to grips with data volumes

The goal of Records Management is to

Records Management is about security

Records Management is about good business

LESSON 4: Records Classification

Figure 4.1. Records Classifications

Classiﬁcation by Place of Use

Classiﬁcation by Value of the Record to the Organization

Figure 4.3. Record Values and Types

Why Records Are Used

LESSON 5: Establishing a Policy Framework

A first requirement is that the institution must be conceived as a permanent facility.

Identifying areas requiring policies

As the number of records increases dramatically, legislation to balance and protect an

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

ISO (the International Organization for

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

❑ needs to demonstrate its ability to consistently provide product that meets

customer and applicable statutory and regulatory requirements, and

ISO 15489:2016, “Information and Documentation – Records

ISO 5127:2017: Information and Documentation, provides a

ISO 14001:2015, Environmental Management Systems –

It helps an organization achieve the intended outcomes of its environmental management

National Archives of the Philippines (NAP) is a national government agency attached

This Act aims to facilitate domestic and international dealings, transactions,

Local Government Code of 1991, Sec. 374. Establishing of an Archival System

operational and regulatory requirements and are

LESSON 1: Government Records and Qualities of a Records

Definition of government records

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