CHAPTER 2

Records and Document Management System

Review or Related Literature
July 24, 2019 inettutor.com
Records and Document Management System Review or Related Literature
Records and Document Management System is a computer based which provides detailed
information about the documents and the whole process of recording. It gives accurate and efficient
information that is reliable and complete. This requires records management solutions to be
integrated in the archiving of documents.
The said project was written in C# and MySQL. It is a lan-based system that will run on the intranet
setup of the office/organization.

REVIEW OF RELATED LITERATURE AND STUDIES

This chapter presents the related studies and literatures of different researchers that support the
book keeping and records management system. It also includes the importance of the studies in the
proposed system which presented in synthesis.
Review of Related Literature
Books and Records Requirements for Brokers and Dealers under the Securities Exchange
Act of 1934
According to Security Exchange Commission, 2003, the Securities and Exchange Commission today
is adopting amendments to its broker-dealer books and records rules. The amendments clarify and
expand recordkeeping requirements with respect to purchase and sale documents, customer
records, associated person records, customer complaints, and certain other matters. In addition, the
amendments expand the types of records that broker-dealers must maintain and require broker-
dealers to maintain or promptly produce certain records at each office to which those records relate.
These amendments are specifically designed to assist securities regulators when conducting sales
practice examinations of broker-dealers, particularly examinations of local offices.
The Securities and Exchange Commission’s (the “Commission”) books and records rules, Rule 17a-
31 and Rule 17a-42 under the Securities Exchange Act of 1934 (“Exchange Act”)(hereinafter the
“Books and Records Rules”), specify minimum requirements with respect to the records that broker-
dealers must make, and how long those records and other documents relating to a broker-dealer’s
business must be kept. The Commission has required that broker-dealers create and maintain
certain records so that, among other things, the Commission, self-regulatory organizations (“SROs”),
and State Securities Regulators3 (collectively “securities regulatory authorities”) may conduct
effective examinations of broker-dealers.
The Commission originally proposed amending the Books and Records Rules in 1996 in response to
concerns raised by members of the North American Securities Administrator’s Association
(“NASAA”) regarding the adequacy of those Rules.4 On October 11, 1996, the National Securities
Market Improvement Act of 1996 (“NSMIA”) was enacted.5 NSMIA prohibits States from establishing
books and records rules that differ from, or are in addition to, the Commission’s rules. Prior to
NSMIA many States had laws or rules that required broker-dealers to make and keep certain books
and records that allowed the State Securities Regulators to conduct examinations and investigations
to review for, among other things, sales practice violations.6 NSMIA also provides that the
Commission must consult periodically with the States concerning the adequacy of the Commission’s
Books and Records Rules,7 particularly relating to the need by State Securities Regulators to have
records readily accessible for their examinations.
The Commission, recognizing the vital role that State regulators play in providing for customer
protection, issued the Proposing Release, in part, to enhance the ability of the State Securities
Regulators to conduct effective and efficient sales practice examinations of activities within their
respective States, including those involving smaller broker-dealer offices. By adopting these rules,
the Commission enables the State regulators to adopt and enforce similar rules on a State level, to
support their examination responsibilities, and investigatory and enforcement requirements. An
important aspect of the amendments is that broker-dealers are required to produce records at offices
within a State. Moreover, many of these amendments require broker-dealers to make or keep
records currently kept by broker-dealers as a matter of business practice or to comply with SRO
rules. However, unless these requirements are adopted as Commission rules, the State regulators
are unable to apply or enforce them at the State level.
The Legal Obligation to Maintain Accurate Books and Records in U.S. and Non-U.S.
Operations
The Foreign Corrupt Practices Act (“FCPA” or “the Act”), 2006 is usually associated with its
prohibitions against foreign bribery. The provisions of the Act relating to bookkeeping and internal
controls (collectively, the “accounting provisions”) receive less publicity but are much more likely to
form the basis of a government proceeding against companies subject to the Act. The most
common FCPA enforcement mechanism is a civil action by the Securities and Exchange
Commission (“SEC”) under the accounting provisions and not a criminal charge by the Department
of Justice (“DOJ”) or even a civil action by the SEC under the antibribery provision. In fact, a study
conducted in 2003 found that of 604 enforcement actions brought by the SEC since the FCPA was
enacted in 1977, only 7 percent related to foreign bribery. Compare this to the 38 criminal bribery
charges brought by the DOJ under the FCPA through 2003.
This overwhelming disparity is due to the fact that the accounting provisions create civil and criminal
penalties for practices that are in no way “foreign” and no more “corrupt” than deliberately sloppy
accounting. The SEC staff has expressed the view that the FCPA’s internal-controls provisions,
although originally viewed as a deterrent to the use of slush funds for illegal foreign payments, are
more broadly intended to protect the general integrity of financial statements. Accordingly, cases
brought under the accounting provisions seldom involve foreign bribery; more often, they reflect the
SEC’s expansive interpretation of the FCPA.
Although the accounting provisions of the FCPA are not aimed specifically at “foreign” accounting
practices, they apply equally to U.S. and non-U.S. operations of businesses required to file reports
with the SEC. They also apply to majority-owned foreign subsidiaries and, in some cases, to none
majority interests and joint ventures. Consequently, businesses subject to the Act must ensure strict
compliance with its provisions, not only in the U.S. but also in their non-U.S. operations. Not
surprisingly, this can be a Herculean task, especially given that accounting and bookkeeping
practices can vary widely in jurisdictions around the globe where U.S. companies do business.
As a general matter, the accounting provisions require covered entities to maintain books and
records that accurately and fairly reflect the transactions of the corporation in reasonable detail and
to design a system of internal accounting controls reasonably calculated to ensure that the entity’s
financial statements are accurately and fairly stated. Since the passage of the Sarbanes-Oxley Act
of 2002 (“SOX”), the accounting provisions have assumed even greater importance because officers
now are required to certify the integrity of their companies’ financial statements and assess the
adequacy of internal controls. As a consequence, corporations are more frequently uncovering
accounting-provision violations in connection with internal SOX reviews and are self-reporting these
violations to regulators in hopes of mitigating penalties for noncompliance.
Because of heightened scrutiny of corporate bookkeeping practices and internal controls in the wake
of SOX, now more than ever corporations and their advisors need to bear in mind the requirements
of the FCPA accounting provisions in assessing the effectiveness and integrity of their internal
financial processes, both in the U.S. and overseas. To that end, this White Paper briefly reviews
and summarizes the requirements of the accounting provisions, penalties for violations thereof, and
the effects of the newly enacted SOX provisions on their enforcement.
Bookkeeping and Internal-Controls Requirements
The FCPA accounting provisions impose requirements on issuers to make and keep accurate books
and records and to maintain and devise a system of internal accounting controls. Every “issuer”
regulated by the SEC is required to:
Make and keep books, records, and accounts that, in reasonable detail, accurately and fairly reflect
the transactions and dispositions of the assets of the issuer.
Devise and maintain a system of internal accounting controls sufficient to provide reasonable
assurances that:

 Transactions are executed in accordance with management’s general or specific

authorization.
 Transactions are recorded as necessary to permit preparation of financial statements in
conformity with generally accepted accounting principles or any other criteria applicable to
such statements, and to maintain accountability for assets.
 Access to assets is permitted only in accordance with management’s general or specific
authorization.

The recorded accountability for assets is compared with the existing assets at reasonable intervals
and appropriate action is taken with respect to any differences.
In addition to the bookkeeping and internal-controls requirements contained in the statute, two rules
adopted by the SEC under the FCPA also govern the accounting practices of issuers. Rule 13b2-1
provides that “no person shall, directly or indirectly, falsify or cause to be falsified, any book, record
or account subject to [the FCPA accounting provisions].” By its terms, the rule applies to any
“person” and not just to issuers and certain affiliated persons. The rule expresses the SEC’s view
that the requirement should extend not merely to the “issuer” itself, but “should apply to any person
who, in fact, does cause corporate books and records to be falsified.” In addition to the bookkeeping
and internal-controls requirements contained in the statute, two rules adopted by the SEC under the
FCPA also govern the accounting practices of issuers. Rule 13b2-1 provides that “[n]o person shall,
directly or indirectly, falsify or cause to be falsified, any book, record or account subject to [the FCPA
accounting provisions].” By its terms, the rule applies to any “person” and not just to issuers and
certain affiliated persons. The rule expresses the SEC’s view that the requirement should extend
not merely to the “issuer” itself, but “should apply to any person who, in fact, does cause corporate
books and records to be falsified.”
Electronic Document and Records Management Systems Implementation Recommendations
From The Front Line
According to the study of InekeDeserno, 2001, it provides information on the implementation of an
Electronic Document Management System (EDMS) at the United Nations High Commissioner for
Refugees (UNHCR). The document discusses the principal features of the system, integrated
management of electronic documents, integration of classification schemes and records scheduling
concerns. The paper also provides EDMS implementation recommendations.
Paper documents, incoming and outgoing were forwarded to the Archives Department for
registration and filing. As users increasingly work electronically, this was no longer consistently
done. Users filed more and more electronic documents on their personal drives. These documents
were not stored according to the file classification scheme and only accessible by the individual who
created them. Consequently, staff members who were replacing travelling colleagues could not
access their documents, and thus carry out their work.
Records Management Literature: The Language of Collaboration
In the study of Antonella Bilotto, 2010, the central issue related to records management in the
corporate setting is often that neither the company owner nor the employees can agree on what
records must be saved, which items can be shredded and in what order when a company faces the
prospect of being dissolved.
Furthermore, collaborating and receiving buy-in from all parties: records manager, company owner
and employees appear unrealistic. A review of the records management literature reveals a startling
gap in articles analyzing the disposal of records when a company dissolves or merges with another
organization. Matters related to this issue go to the very core of records management theory and
practice: what records should or must be saved and who can records managers best work with
corporations in this process?
There are several different approaches to this query underscored by articles from the past fifteen
years. I divide this literature into three categories for comparative analysis: records management
theory, records management case studies and those case studies that relate specifically to a
company’s dissolve.
From a European perspective, Antonella Bilotto, presents an analysis of records management
history and theory from an Italian perspective in her article “The management of corporate records in
Italy: traditional practice and methods and digital environment.” Authors of three additional articles
offer further theoretical perspectives on records management compliance, compliance phobias and
a risk management model. Mimi Dionne provides important theoretical background information for e-
records management based upon her work implementing an email management program. Michael
Nycyk uses an ethnographic approach in his case study analyzing one Australian construction
company’s records management practices. Sophia Philipson analyzes the closure of a government
agency and reflects on her role as records manager. Finally, James Fogerty presents five case
studies from his experiences as the head of the acquisitions and curatorial department at the
Minnesota Historical Society working with companies that downsize or outsource their functions.
The arguments Philipson and Fogerty present underscore that collaboration between records
managers and company staff remains an achievable goal for practitioners. As the field of records
management continues to evolve and as the electronic records management literature becomes
infused with practice as well as theoretical approaches to collaboration issues, the gap between
theory and practice will continue to close.
This body of literature supports the conclusion that providing company staff with the opportunity and
the encouragement to participate the process buy in results in a positive experience for both records
managers and employees.
Review of Related Study
Computerized SSC Record Keeping
This research study entitled “Computerized SSC Record Keeping” was conducted at Romblon State
University-Cajidiocan Campus during the 1st Semester of the Academic Year 2011-2012.This study
attempts to design a computerized record keeping helping the Supreme Student Council in record
keeping as well as the students as they transact business in the SSC office as they secure the SSC
Secretary’s signature. The system provides a fast, accurate and easy way of record keeping and
retrieval of information.
The main objective of this study is to design, develop and operate a computerized SSC record
keeping. The proponents made use of the descriptive survey type of research in knowing the
perceptions of the students in the traditional way of keeping records as well as their expectations on
the features of the proposed system. The researchers made use of questionnaires in data gathering.
The experimental method of research was also applied in designing the proposed system. Further,
this study was conducted and the proposed system was designed for the benefits of the Supreme
Student Council officers and the students as their clientele.
Records Management for Museums and Galleries
According to C. Brunskill, P. Mellon and R. Demb, 2012, this study will doubtless prove to be a
useful guide for those responsible for records management in the museum and gallery sector. The
systematic management of records is an important activity for ‘information businesses’ such as
museums and galleries, but is not always recognized as a core function. Record keeping activities
are often concentrated on small groups of records, and staff charged with managing them may have
limited experience in the field.
Records Management for Museums and Galleries offers a comprehensive overview of records
management work within the heritage sector and draws on over a decade of experience in applying
fundamental principles and practices to the specific circumstances of museums. It introduces
readers to the institutional culture, functions, and records common to museums, and examines the
legislative and regulatory environments affecting record-keeping practices. The book is comprised of
eight chapters, including: a history of records keeping in the UK museum and gallery sector; the
basics of records management; making a business case for records management; requirements of
legislation for records management; how to conduct a records survey; strategy and action planning;
how to develop a file plan, retention schedule and records management programme; and a guide to
useful additional resources.
Readership: Anyone responsible for records management/keeping in a museum environment:
professional, temporary, volunteer museum staff, etc. who want to learn more about the discipline in
principle and in practice. It is suitable for individuals working in the public and private sectors, local
and national institutions, both in the UK and North America.
Management Of School Records By Secondary School Principals In Delta State, Nigeria
In the study of N. Osakwe Regina, 2010, this study examined the management of school records by
secondary school principals in Delta state, Nigeria. As a descriptive survey, the study population
comprised all the 602 public secondary school principals. The 602 principals were used for the
sample. A structured questionnaire was used to gather data which was subsequently analyzed using
the mean scores and z-test statistics to answer the three research questions and test the three
hypotheses, respectively. The findings revealed that secondary school principals differ in their
management of school records in terms of gender, experience and school location. Based on these
findings, it was recommended that government should provide adequate funds and facilities for the
effective management of school records, there should be adequate training and retraining for
principals through in-service programmes, conferences, seminars and workshops also effective
supervision of school principals is necessary irrespective of gender, experience and school location.
Alfresco 3 Records Management
The Alfresco Records Management feature set is so complete that it is one of the very limited
number of systems, and the only Open Source solution, that has been fully certified for Records
Management use by the US Department of Defense. Record keeping is important because accurate
records are really the only way that organizations can demonstrate compliance with regulatory
requirements. The amount of regulation that organizations must comply with has gone up
dramatically over the last decade, and the complexity of record management has increased
proportionally.
Alfresco 3 Records Management is a complete guide for setting up records programs within
organizations. The book is the first and only one that describes Alfresco’s implementation of Records
Management. It not only teaches the technology for implementing Records Management, but also
discusses the important roles that both processes and people play in the building of a successful
records program.
Alfresco 3 Records Management starts with a description of the importance of record keeping,
especially from a regulatory compliance perspective. It then discusses Records Management best
practices and standards, and goes on to describe step by step how to identify documents that need
to be managed as records, how to use Alfresco Records Management software to set up the File
Plan structure for organizing the storage of records, and then how to manage the lifecycle of the
records.
The book provides detailed instructions for installing and configuring Alfresco Records Management.
The topics covered include setting up a record File Plan, filing records, establishing record retention
schedules, setting up security and permissions, assigning metadata, extending the content model,
using advanced search techniques, and creating system activity audit reports. The book also
provides “deep-dive” information from a developer’s perspective about how the Records
Management module was implemented within the Alfresco Share platform.
Alfresco 3 Records Management covers features available in both the Community and Enterprise
versions of Alfresco software. By the end of this book, you will be able to successfully develop a
records policy and implement it within Alfresco Records Management
Farm Business Records
According to the study of Richard W. Carkner, 2010, a farm business large enough to adequately
support a family is much too complex to manage from notes on a calendar or tablet. A detailed set of
records is essential to making sound farm management decisions. This publication discusses the
importance of farm records, explains the basics of bookkeeping, and outlines other major record
keeping components and concepts including asset inventory, depreciation, profit and loss, enterprise
accounting, and cash flow. While computer software to do farm records is readily available, a
manual system is discussed here to better illustrate concepts. Understanding a manual system will
directly transfer to understanding a computer based system. Computer based record systems are
widely available and should be considered when setting up a record system. Software capability to
support farm records has grown dramatically in recent years. Different software packages differ in
complexity and price.
However, the output—balance sheets, cash flow, income statements and enterprise accounts—
provide the information necessary for farm business planning and management. Computers can be
used to generate these documents; however, information on process and accounting is often absent.
This publication will focus on process and basic concepts necessary to understand computer-
generated output.
Importance of Keeping Records
There are a number of reasons for keeping farm records. First, farm records are a management tool.
Farm records allow you to measure how efficiently you are using resources and to determine
whether or not you are making any money. They help you define and evaluate success as measured
by income generated for family living, retirement, and other needs and desires. Financial success is
measured by profitability; if the farm business is not profitable it is not sustainable. Farm records are
also essential for planning and decision making. A second reason for keeping farm records is for
income tax management. Good records simplify tax reporting and facilitate tax management to
increase after-tax income. If you keep poor records, you may pay more taxes. A third reason for
keeping farm records is for obtaining credit. A good set of farm records allows you to determine
credit needs and support loan requests. Properly kept records provide bankers financial information
they need for making credit decisions, and good records also demonstrate your management ability.
Miscellaneous uses of farm records include pricing products for sale at a farmers’ market, estimating
the value of a CSA share, evaluating land leases, deciding whether to hire services or buy
equipment, avoiding embarrassment from bounced checks, and evaluating farm insurance needs.
Record Keeping as a Determinant of SMES
In the study of Kahhamza (Jan. 2014), the role played by small and medium enterprises (SMEs) in
the development of the economy of any nation is of great significance. SMEs serve as a plat form for
low income earners to contribute their quota toward the economic development of their countries.
The purpose of a good recordkeeping system is to provide management information to use in
operating the business. Because cash flow and profitability are closely tied to financial analysis, it is
vital that the entrepreneur understand the external and internal financial factors that affect business.
The recordkeeping system provides the foundations for monitoring and measuring the progress of
the business. It provides a plan for fiscal control by monitoring and measuring sales, costs of goods
sold, gross profits, expenses and taxes. The entrepreneur should be involved in setting up the
recordkeeping system and the chart of accounts, which includes elements that are critical in
managing the day-to-day operations of the specific business. The truth is there are few things more
important to any business than keeping complete and accurate records. Without these records, there
would not be information to make important decisions that affect the business such as hiring
employees or even knowing which of your products or services are profitable or should be
discontinued. Every successful business owner needs a goal system that allows them to use their
time in the most efficient way possible.

Link: Records and Document Management System Review or Related Literature | INetTutor.com
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5
CHAPTER TWO
LITERATURE REVIEW
2.1 Introduction
Ginn (2010) defined records management as management of any information captured in
reproducible form that is required for conducting business. According to Salaam (2000) records
are very important in modern business. Also Arora (2001) states that modern community
depends much upon records.
In the words of Kevin Smith (2012) records management can be described as a management
control of records. Kevin Smith and others defined records management in three words; records
management, broadly defined includes forms, reports, reproduction of written materials, filling
retention microfilming and related issues”. Records management in its broadest sense concerns
itself with the records creation distribution maintenance, retention, presentation, retrieval and
disposal.
According to the North South Wales State Records (1997) state records of south wales are
responsible for governance role in records keeping practices of state and local
government
authorities. It is also responsible for providing advice and guidance to these agencies in the area
of records management. The adequate records management frame work grew out of the directive
in the state records act (1997) which states: if a manager (director of state records) is of the
opinion that the records management practices of an agency are adequate, the manager (director)
must report the matter to the minister. Part of the state records role is to define what adequate
records management means and ensures that agencies meet these standards.
2.2 Benefits of effective records management system
According to Cunningham (2006) an effective records management system has many benefits to
the organization and these include the following
Informed policy making, decision making and planning for the delivery of services
i. Good risk management and corporate governance
ii. Enhanced operational effectiveness
iii. Increased client satisfaction
iv. Better management and delivery of services
v. Increased productivity
vi. Increased accountability
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vii. Increased access to and sharing of corporate information
viii. Improved ability to meet community expectations
2.3 Creating official records
The South Australia State Records (1997), defines an official record as a record made or received
by an agency in the conduct of its business”. Official records provide evidence of the functions
and activities conducted by state government agencies and local government authorities.
Agencies should be aware of paper-based and electronic records created as parts of an agency’s
business are considered to be official records for the purposes of the national records. When an
organization fully creates her records then it will satisfy the requirements of the analysis its
business activity.
2.4 Capturing official records
According to Australian standard (2002), describes the purpose of capturing records into
a
records system as to establish a relationship between the record, the creator and the business
context that originated it. The process of capturing records can be undertaken by the allocation of
explicit metadata, embedded in, attached to or associated with the specific record, irrespective of
its format. This process should be designed into the procedures of a record keeping system the
metadata is essential for retracing, with authority, the status, structure and integrity of the record
at any time and demonstrating its relationship to other records
Capture may be ensured by classification and indexing, which will allow appropriate linking,
grouping, naming security protection, user permissions, retrieval, disposition and identifying
vital records. Also arrangement in a logical structure and sequence, whether physical file or an
electronic directory which facilitates subsequent use and reference. Registration also provides
evidence of the existence or records in a records system and systems which profile or template
the actions undertaken in business. Capture involves the organization of official records with
unique identifiers in some form of logical sequence.
2.5 Classifying official records
Records classification is the systematic identification and arrangement of business activities
and/or records into categories according to logically structured conventions, methods and
procedural rules presented in a classification system. Classification facilitates description control,
links and determinations of disposal and access status. According to Salaam (2000),a
classification system refers to the basis of arrangement of documents in a folder. The document
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can be classified in five main methods for example alphabetic, chronological, numeric
and
alphanumeric or some combination of them.
The classification of records is a key records management function. It ensures the structured
organization of records, the consistent description of records, agency-wide access to records and
increased speed and consistency of access to records. Staff time when searching for official
records is reduced when records are classified in a consistent and systematic manner. Thesaurus
is a common tool for classification and management of records, usually at the file level. It
ensures that classification terms are used consistently throughout a record system. It is a
controlled language too.
2.6 Indexing
According to Arora (2001:192), indexing can be defined as a method of providing indicator for a
body of data or collection or records. Indexing is anything that points out or indicate. It also
refers to the arrangement of documents in such an order so as to facilitate easy access to them. It
may be alphabetical or numerical. Also ,Saleem (200:85),states that an index is advice
for
finding the position of a document or file in a system quickly and easily, so an index serves as
indicator to what and where aspects of a collection in an information center
2.7 Designing and implementing a records system
According to state records of South Australia (2004), defines a records system as an information
system that captures, manages and provides access to records through time. In this context an
information system is not limited to the information technology industry concept of an
information system. Records system can include software and hardware, people, procedures and
policies all relating to the storing, processing and accessing of information. The state records
(2005) definition of a records system should not be solely equated with a central registry or
correspondence filing system. All records in all formats created or received by an agency in the
course of business are official records and should be managed in systematic ways.
2.8 Current issues
According to Hiller (1948), the adequate management of official records is not widespread
within the government bodies. There is lack of consistent policies and guidelines for the
management of official records. Staffs are not fully aware of their responsibilities with regard to
official records. There is need for strategic management of official records as well as sufficient
corporate planning and resourcing. Official records of permanent value are at a serious risk.
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Official records are not fully and effectively utilized as part of the government corporate
knowledge. According to Hiller (1948:10) the questionnaire that was designed in Rhodesia and
Nyasaland found out that the nature and bulk of important records in both territories were found
in the secretariat rather than in records department or local offices and that kept everywhere but
especially in local office was adequate.
2.9 Digitization of official records
According to Dallor (1986:74), records managers to be successful in electronic information age
must learn both how to implement the new technologies in their work place and how to identify
opportunities for implementation. Many agencies are currently digitizing official records by
scanning or imaging technologies. Typically the records created and captured by imaging are
managed using a database or an electronic document records management system(EDRMS) it
does not currently relate to other forms of conversions or migration of official records born
electronically, it aims at minimizing the risks to government(state and local)in terms or records
of longer term temporary or permanent value being lost or destroyed without limiting the
application of digitization technologies for efficient office administration or other purposes.
2.10 Record keeping metadata
According to Charles (1997), one of the key areas to be designed when implementing a records
system is the definition of metadata to be used across all aspects of the management of the
records. Metadata can be defined simply as data structured information; database managers.
Librarians, archivists, records managers, webmasters and others in the information management
business have collected and used metadata for consistency and a standard approach to metadata
is much greater
Australian Records Management Standard (2002) defines records keeping metadata as data
describing context, content and structure of records and their management through time. Also
metadata is defined as structured information of records and their management through time.
Also metadata is defined as structured information that describes, explains, locates or otherwise
makes it easier to retrieve, use or manage records. It’s often called data about data or information
about information. Metadata is a key in ensuring that records will survive and continue to be
accessible into future. It facilitates discovery of relevant information. Also helps to organize
electronic records facilities interoperability and legacy resources to organize records integration,
provide digital identification and support archiving and preservation.
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2.11 Records appraisal

According to Penn (1996:107), the time to appraise a record is at its creation, by doing this a
records manager is able to accomplish two important functions. The records manager can notify
the records users of the value and thereby ensure that it is handled and maintained appropriately.
Also he or she can, when necessary ensure that the records is created on lasting medium or
provide for future media conversion so that information degradation doesn’t occur.
Appraisal is the basis for retention scheduling; the process of documenting a records value in
terms of length of time it is to be retained. By establishing a records schedule an organization
ensures that records keeping laws are adhered to and management needs met and demonstrates
that a systematic program is in place to determine records values prior to destruction of
information. As a general rule, records should be retained in the originating office as long as they
are active (referred to once per file per month) for those records which will have no archival
value, disposition should occur at the earlier possible time after the retention requirements have
been met.
Traditionally, appraisal was a process of evaluating records using a number of defined criteria to
determine whether records were permanent or temporary. Traditional appraisal focused on the
records as the primary entity and therefore took a micro or records class based approach. The
values assigned to the records were most commonly grouped into two areas-primary (or
evidential) value and secondary (or informational) value. Records that satisfied the primary value
were usually assigned longer retention periods that records met the secondary value.
The traditional view of appraisal is being replaced by a new approach known as ‘functional’ or
‘macro’ appraisal described thus appraisal is the process of evaluating the business activities of
an agency to determine which records need to be created and captured and how long the records
need to be kept to meet business needs, the requirements of organizational accountability and
community expectations. This includes determining which records should be kept as part of our
community’s collective memory and cultural heritage. The basis of the functional appraisal is the
exploration of the functions and activities of an organization by:
 Determining what the agency does and what its staff considers it does
 Analyzing and classifying the functions and activities of the agency
 Identifying the relationships between functions and the activities and transactions that
make up a function.
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 Identifying the range of stakeholder interests in and uses of records

 Determining risk factors associated with deciding which records to keep and which to
destroy
 Identifying legislation, standards and accountability requirements that need to be
complied with.
2.12 The retention of official records
According to Salaam (2000:88) documents and all records are not expected to be kept permantly
in the filing cabinets. When records become inactive, they should either be destroyed or
transferred to reserve storage. The physical state of a record will also be considered when it is
appraised. If a record is in such a poor physical state that it cannot be preserved or poses a threat
to more stable records, then it may not be kept as part of the organization’s archival collection.
Records that lack any context and where that context cannot be reasonably reconstructed may not
be kept as part of the organization’s archival collection. The feasibility, long term costs of
storage, preservation and accessibility also need to be considered and assessed as part of the
appraisal process.
2.13 Disposal of official records
According to Penn (1994:256), records occur in two forms that is the physical destruction of the
records or their transfer to an archive for historical and permanent retention. Records are
authorized for disposal in accordance with records retention schedules whether the records are
stored in the office are or in a records center. Ideally the retention schedule provides all the
authority needed to carry out the disposition of records. The north south wales state records
(1997), defines disposal in the following manner
 The destruction or abandoning of a record
 Carrying out any process that makes it impossible to reproduce the information in a
record
 Transferring or delivering ownership or possession of a record
 Selling a record
The disposal of official records also includes their permanent retention as part of the
government archival collection maintained by the government agencies. Disposal does not;
however include transferring or delivering a record to national archives or between one
agency and another
11

2.14 Related Systems

Many of the current Ugandan information and emergency systems are still paper-based and stand
alone systems that do not fully utilize the Internet, multimedia, wireless and real time
technologies.
One of the systems that have been developed to address this problem according to Reinhold
Haux,
E. A. (2011) is the integrated Emergency, Healthcare, and Medical Information System
(IEHMS).
The main aim of this work is to incorporate the real-time and mobility technologies with medical
emergency systems. It offers SMS, MMS, live audio and video coverage.
IEHMS provides an easy to use, efficient and cost-effective web based system while making use
of multimedia environment, real time and mobility technology. The main features of this system
can be summarized as:
 Creating a virtual global community
 Investigating and overcoming the weaknesses of the current medical emergency systems
 Offering real time communication between the client/patient and the emergency officer
through:
SMS (Short Message Service)
MMS (Multimedia Messaging Service)
Live chat (web based)
IVR (Integrated Voice Response)
Email
 Developing a real time agent based medical emergency system by using multimedia, web
2.0 and mobility technology
IEHMS has the following system components:
i. Web Server: will listens for requests from Web browsers and upon receiving a request
for
a file sends it back to the browser. It will host the program and control information for the
system.
ii. Database: this is a fundamental part of the system. It stores all important and
detailed
information about the system stakeholder such as general users, emergency authorities,
doctors, patients, hospitals and emergency centers, places or locations and events within
the area of implementation. .Beside that there is detail set of prerecorded SMS and MMS,
which are suitable for different emergency and guidance cases. In addition, the database
12

supports real-time multimedia. Hence it has both temporal validity and precise timing
constrains, which allow it to store the most recent data and effect instant changes as soon
as they occur.
iii. Telephony Server: will act as a Private Branch Exchange (i.e. a private
telephone
network used within an enterprise). The system will use the open source Asterisk PBX.
Users are able to call the PBX number and will be prompted with an interactive voice
response (IVR). The IVR options will be generated by the Agent according to the
selections made by the caller. The telephony server will also host a SMS server that will
be responsible for communication between the patient/user and the Agent.
iv. The SMS server will continually listen for incoming SMS messages, process and
pass
them to the Agent. The agent will respond accordingly and the SMS server will deliver
the response back to the user.
v. Streaming Media Server: this is a dedicated Streaming Server for streaming
multimedia
to the stakeholders. It provides high quality media, effective bandwidth utilization, and
supports detailed reporting and multi-stream multimedia for larger numbers of users.

However, it is important to note that being a developing country; Uganda does not have the
capability of using some of the technologies reviewed above for example MMS and the
Asterisk PBX. Creating a global virtual community would be a good idea in Uganda if
citizens knew about it and had complete knowledge about it. However, this is not the case for
this developing country.
Information Systems.
An information system is comprised of sub systems designed to address the needs of each
functional unit, Oz, E. (2009) It includes both management information systems (MIS)
and
decision support systems (DSS), and used when referring to both types of systems.
An information system is a set of interrelated components that collect, store, process and
distribute information to support decision making, coordination and control in an organization.
Generally, information systems are automated or manual, it comprises of people, machines and
or methods organized to collect, process, transmit and disseminate data that represents user
information.

13

Database Systems
These are systems designed to manage large bodies of information (Narang, R. 2011). It is fair
to
say that databases play a critical role in almost all areas where computers are used i.e. business,
electro commerce and medicine among others (Elmasri Navathe, 2004). Today more than at any
previous time, the success of an organization depends on its ability to acquire accurate and
timely data about its operations, to manage this data effectively and to use it to analyze and guide
its activities (R. Ramakrishna and J. Gehrke).
Inability to manage this vast amount of data, quickly find information relevant to a given
situation as amount of information increases tends to become a distraction and a liability other
than an asset, thus the need for a database system (Narang, R. (2011).).
Network based Information Systems
According to Makoto Takizawa, L. B. (Ed.). (2008). network-based systems are those capable of
operation across a network, but not necessarily in a fashion that is transparent to the user. In
some cases it is desirable for the user to be aware of the difference between an action that
requires a network request and one that is satisfiable on their local system, particularly when
network usage implies an extra transaction. In turn, the system will be a network based
Information System spanning the various departments of the information department.
Integrated Personal Payment System (IPPS)
The IPPS supports Government of Uganda objectives as it:
 Provides timely and accurate information for HR management decisions
 Implements improved, automated and integrated processes for personnel establishment
and payroll management
 Integrates the IPPS with the pension management functions of Ministry of Public
Services
 Supports and maintains the integrity of the personnel records and payroll management
processes across the Government of Uganda
 Provides HR, payroll and pension information that will integrate with other government
information systems.
 Provides computer access to HR information for employees and managers
 Provides training to users on the current IPPS setup and will continue to provide training
sessions as additional functionality is added
14
Electronic document and records management system (EDRMS)
According to Adam, A. (2008), this is a type of content management system and refers to the
combined technologies of document management and management systems as an integrated
system.
Once a document achieves the status of a record, the organization may apply best practice or
legally enforced retention policies which state how the second half of the record life-cycle will
progress. This typically involves retention (and protection from change), until some events occur
which relate to the record and which trigger the final disposition schedule to apply to the record.
Eventually, typically at a set time after these events, the record undergoes destruction.
Integrated library systems
An integrated library system (ILS) according to Desiree W.(2010) also known as a library
management system (LMS), is an enterprise resource planning system for a library, used to track
items owned, orders made, bills paid, and patrons who have borrowed.
An ILS usually comprises a relational database, software to interact with that database, and two
graphical user interfaces (one for patrons, one for staff). Most ILSes separate software functions
into discrete programs called modules, each of them integrated with a unified interface.
Examples of modules might include:
 acquisitions (ordering, receiving, and invoicing materials)
 cataloging (classifying and indexing materials)
 circulation (lending materials to patrons and receiving them back)
 serials (tracking magazine and newspaper holdings)
 the OPAC (public interface for users)
Each patron and item has a unique ID in the database that allows the ILS to track its activity.
Larger libraries use an ILS to order and acquire, receive and invoice, catalog, circulate, track and
shelve materials. Smaller libraries, such as those in private homes or non-profit organizations
(like churches or synagogues, for instance), often forgo the expense and maintenance required to
run an ILS, and instead use a library computer system
2.15 Regular records management reporting
According to state records authority of new south wales, standard on counter disaster strategies
for records and records keeping systems,(2002),regular reporting is an essential aspect of quality
management. Without this self-assessment and presentation of findings the quality of processes

15
cannot be assured. Regular reporting can ensure continued senior management support for an
agency’s records management programme. Management will remain informed about
developments, processes and what is happening to the agency’s official records. It can also
ensure that the programme is in place working both accurately and effectively. It can help to
identify areas where further policies and practices need development or revision.
Under the effective records management, senior management is required to receive
regular
reviews reports on the following records management functions
 The creation of official records
 The capture of official records
 The disposal of official records
 The provision of access to and disclosure of information within official records
 The operation of the agency’s official records location policies, plans and procedures
 The application of the records management plan
 The scope of the application of the records policy, plans and procedures
2.16 Disadvantages of centralized records management systems
Data Retrieval and Sharing
A leading reason why many organizations have gone paperless is the ease with which an
electronic system allows for information retrieval and sharing. When data is held on paper and
stored in a registry, retrieving it presents a challenge. Moreover, the information can only be
used by one individual at a time. While electronic systems solve this problem, they too come
with other challenges.
Equipment Cost and Potential for Obsolescence
When an organization goes paperless, there are huge volumes of data held on paper that have to
be scanned and stored in a digital format. The hardware and software needed for this exercise
cost a substantial amount of money. Initial costs aside, a significant disadvantage with electronic
systems is that both hardware and software become obsolete in a relatively short time. Hardware
could require changing in as little as 18 months while software changes every after some time.
Electronic Systems and the People Issue
Implementation of an electronic records management system calls for a change in the employee's
attitudes. Any radical change in an organization is viewed with skepticism by many employees
who are not sure how such changes will affect them. When older ways of organizing files are
16

replaced by new ones, the employee feels a loss of control and this need to be addressed by
assurances from the employer and backed by the success of the system implemented.
Security and Other Issues
With the increased info sharing that an electronic records management system makes possible
comes the issue of security. Unless adequate measures are put into place, it becomes possible for
confidential company information to end up in the wrong hands. Moreover, management of
records could become a problem when the system is clogged with unnecessary records (such as
document copies). It is not uncommon to find situations where a substantial amount of records
held are actually junk mail
Centralized System
A centralized records according to Catherine Hare, J. M. (2003)A centralised system is:
 One in which the records for several people or units are located in one central location
and generally under the control of arecords staff person or in the case of large centralized
filing systems and several people.
Advantages:
 Responsibility is easily placed.
 Effective use of equipment, supplies and space.
 All related data kept together.
 Reduces duplication.
 Uniform service provided to all users.
 Improved security.
Disadvantages:
 Records may be too distant from staff for adequate services.
 Can result in increased personal filing systems.
 Requires full-time staffing.
 May require investment in more efficient records equipment and/or automation.
Decentralized System
A decentralized records system is:
 One in which the records are located throughout the office, generally at individual work
stations; and,
 Usually controlled by the person who creates and or receives them.
17

Advantages:
 Records located near staff creating and using them.
 Does not require extra space needed for centralized files.
 Does not require full-time staffing.
 Staff feels more comfortable knowing they are in control of their own filing and
retrieving.
Disadvantages:
 Confusion as to where information can be found, especially if staff member is absent.
 Can result in fragmented documentation information related to the same topic or subject
filed in multiple places.
 Individual staff members may not know how to properly maintain their files.
 Lack of uniformity or consistency.
2.17 Conclusion
This chapter mainly focused on the relevant literature review and basically highlighted on the
related systems and brought out the benefits of effectiveness, the researcher majorly drew
conclusions of this chapter by looking at the merits and demerits of centralization of records and
decentralization of records.

Link: (PDF) DESIGNING AN EFFECTIVE RECORDS MANAGEMENT SYSTEM A CASE STUDY OF THE
ECONOMIC POLICY RESEARCH CENTER (EPRC) UGANDA (researchgate.net)
Theoretical Framework

Technology Acceptance Model (TAM; Davis, 1989) has been one of the most influential models
of technology acceptance, with two primary factors influencing an individual’s intention to use
new technology: perceived ease of use and perceived usefulness. An older adult who perceives
digital games as too difficult to play or a waste of time will be unlikely to want to adopt this
technology, while an older adult who perceives digital games as providing needed mental
stimulation and as easy to learn will be more likely to want to learn how to use digital games.
While TAM has been criticized on a number of grounds, it serves as a useful general framework
and is consistent with a number of investigations into the factors that influence older adults’
intention to use new technology (Braun, 2013).

The actual system use is the end-point where people use the technology. Behavioral intention is a
factor that leads people to use the technology. The behavioral intention (BI) is influenced by
the attitude (A) which is the general impression of the technology.
The model suggests that when users are presented with a new technology, a number of factors
influence their decision about how and when they will use it, notably:

 Perceived usefulness (PU) – This was defined by Fred Davis as "the degree to which a person
believes that using a particular system would enhance his or her job performance". It means
whether or not someone perceives that technology to be useful for what they want to do.
 Perceived ease-of-use (PEOU) – Davis defined this as "the degree to which a person believes
that using a particular system would be free from effort" (Davis 1989). If the technology is easy
to use, then the barriers conquered. If it's not easy to use and the interface is complicated, no
one has a positive attitude towards it.

Link: Technology acceptance model - Wikipedia

Based on the theory of reasoned Action, Davis ( 1986 ) developed the Technology Acceptance
Model which deals more specifically with the prediction of the acceptability of an information system.
The purpose of this model is to predict the acceptability of a tool and to identify the modifications
which must be brought to the system in order to make it acceptable to users. This model suggests
that the acceptability of an information system is determined by two main factors: perceived
usefulness and perceived ease of use.
Perceived usefulness is defined as being the degree to which a person believes that the use of a
system will improve his performance. Perceived ease of use refers to the degree to which a person
believes that the use of a system will be effortless. Several factorial analyses demonstrated that
perceived usefulness and perceived ease of use can be considered as two different dimensions
(Hauser et Shugan, 1980 ; Larcker et Lessig, 1980 ; Swanson, 1987).
As demonstrated in the theory of reasoned Action, the Technology Acceptance Model postulates
that the use of an information system is determined by the behavioral intention, but on the other
hand, that the behavioral intention is determined by the person’s attitude towards the use of the
system and also by his perception of its utility. According to Davis, the attitude of an individual is not
the only factor that determines his use of a system, but is also based on the impact which it may
have on his performance. Therefore, even if an employee does not welcome an information system,
the probability that he will use it is high if he perceives that the system will improve his performance
at work. Besides, the Technology Acceptance Model hypothesizes a direct link between perceived
usefulness and perceived ease of use. With two systems offering the same features, a user will find
more useful the one that he finds easier to use (Dillon and Morris, on 1996).

Figure 1
Technology Acceptance Model from Davis, Bagozzi et Warshaw (1989)

According to Davis ( 1986 ) perceived ease of use also influences in a significant way the attitude of
an individual through two main mechanisms: self-efficacy and instrumentality. Self-efficacy is a
concept developed by Bandura ( 1982 ) which explains that the more a system is easy to use, the
greater should be the user’s sense of efficacy. Moreover, a tool that is easy to use will make the user
feel that he has a control over what he is doing (Lepper on 1985). Efficacy is one of the main factors
underlying intrinsic motivation (Bandura on 1982; Lepper on 1985) and it is what illustrates here the
direct link between perceived ease of use and attitude. Perceived ease of use can also contribute in
an instrumental way in improving a person’s performance. Due to the fact that the user will have to
deploy less efforts with a tool that is easy to use, he will be able to spare efforts to accomplish other
tasks.(Davis, on 1986).
It is however interesting to note that the research presented by Davis (1989) to validate his model,
demonstrates that the link between the intention to use an information system and perceived
usefulness is stronger than perceived ease of use. According to this model, we can therefore expect
that the factor which influences the most a user is the perceived usefulness of a tool.
Although the intial TAM model was empirically validated, it explained only a fraction of the variance
of the outcome variable, IT usage (from 4% to 45%, according to McFarland and Hamilton, 2006).
Therefore, many authors have refined the initial model, trying to find the latent factors underlying
perceived ease of use and perceived usefulness.
Link: Technology acceptance model - EduTech Wiki (unige.ch)

Conceptual Framework
This study is anchored on the development Electronic Documents and Record Management System
(EDRMS) for the Provincial Disaster Risk Reduction and Management Office (PDRRMO) Iba, Zambales
which will eventually be assessed by the target clients, employees and administration of Provincial
Disaster Risk Reduction and Management Office (PDRRMO) Iba, Zambales. The Electronic Documents
and Record Management System (EDRMS) will provide the employee a fast recording and retrieval of
information. A diagram that best illustrate the conceptual framework of the study is shown in Figure 2.

INPUT PROCESS OUTPUT

A. The Agile Method

B. Survey Development of
Questionnaire Electronic Documents
and Record
C. Interviews Management System
(EDRMS) for the
D. Statistical Tools: Provincial Disaster Risk
Reduction and
D.1 Frequency Management Office
D.2 Mean (PDRRMO) Iba,
D.3 Percentage Zambales
D.4 Likert Scale

FEEDBACK
Difficulties were first determined with the present manual system in the Provincial Disaster Risk
Reduction and Management Office (PDRRMO) Iba, Zambales like using manual documentation and
other bulky papers storing and keeping offices files reports. The Agile Method was then utilized in
developing thee system.

CHAPTER 1
Background of the Study
Any work a human can do in an hour, a machine can do in a minute. Technology indeed has a

great part in our lives. It cannot deny the fact that without technological advancements people

lives would not have been easier and faster. In today modernization, technologies basically

succeeded in reducing the human efforts and the risk in doing a lot. As we live in technological

world, we need technology in every single matter of our life. However, some researchers noticed

that some sectors in today’s society seem to be left behind in terms of adapting the use of

different technology method to allow progress in their field.

As time goes by, we are now in modernization, our world has been innovated and continuously

innovating by technology in all possible ways. People have been replaced by robots and different

works have been made easier by the used of different software. Computerization technology is a

control system that aims to manage the process in different institution as it can reduce human

errors and processing time. In an information management system, computerization is a software

that helps to organize and analyze data. This can result in a system with well-integrated

processes that can perform much faster and more accurate that a usual manual system.

Records Management System (RMS) is the management of records for an organization

throughout the records-life cycle. A records management system is more than just storage. In

fact, it’s a completely end-to-end solution that adheres to a strictly defined policy for the
creation, storage, and destruction of all hard and digital information assets. It usually involves

records management software as well, but it’s not just software or scanning either. A computer-

based records management system comprises an information filter for assuring that record data

units offered to the system for storage are complete and not redundant. These record data units

may be electronic in nature, scanned from paper, digitally formed from audio, video or otherwise

formed as digital data information media, an objective of the disclosed system being to eliminate

paper or microform record keeping. If record data units comprising documents are incomplete or

redundant, the data units may be queued for special handling, returned or otherwise disposed of.

Majority of the people know how to use such different technology. Despite this undeniable

progress in the field of technology, we still cannot deny the fact that there are still some

institutions that using manual process in doing their daily transaction, recording their report

manually that take a lot of time and efforts to accomplished. Even though we live in the more

modernized world where everything relies on computers and internet, the researchers found out

that most of government offices here in Zambales are still using manual process on their daily

information and data processing throughout the province.

Ginn (2010) defined records management as management of any information captured in

reproducible form that is required for conducting business. According to Salaam (2000) records

are very important in modern business. Also Arora (2001) states that modern community

depends much upon records.

In the words of Kevin Smith (2012) records management can be described as a management

control of records. Kevin Smith and others defined records management in three words; records

management, broadly defined includes forms, reports, reproduction of written materials, filling

retention microfilming and related issues”. Records management in its broadest sense concerns
itself with the records creation distribution maintenance, retention, presentation, retrieval and

disposal.

Provincial Disaster Risk Reduction and Management Office (PDRRMO) Zambales is one of the

government offices that still practice most of their works manually. Although they have access

on the technology like computers, they are not using it to most useful one that might help them in

their work like using information management system. There are things that they can do with

their computer yet they are doing it manually. With only manual processing it would take a lot of

time to search for the documents. But with the aid of computers, the documents are only one

click away compared to manual processing or work done by hand. Doing most of their task

manually instead of using the aid of technology led to the most common problems like: Their

files, documents and certificates and other important information are not properly organized;

keeping important file for future usage is not an easy thing to do manually because it cost so

much space and paper; difficulty in keeping, updating and retrieving the data due to manual

storing of data; losing important files are possible because they are not properly kept, there are

times that they lose an important document and there is no way for them to retrieve, it may cause

a serious problem; there are some files that only authorized personnel can access, but it is hard

for them to secure it because some files are just stored in an unsecured area and not most of the

time, there is no personnel to oversee it; lastly as we are facing pandemic today it will not be

good to use manual system because we are exposing ourselves to others when a lot of man power

searching the information on the storage room. Lastly, due to pandemic, most of the people are

not allowed to go outside. Therefore, not all of the employees can go to their work. Since manual

system requires a lot of man power, and the employees are only limited, processing and some

transactions takes amount of time.

In this regard, the researchers are proposing an Electronic Records and Documents Management

System for Provincial Disaster Risk Reduction Management Office (PDRRMO) Zambales. This

system may help them resolve the current issues that they are encountering with their current

system. The researchers are determined to come up with a system that will take place all the

manual systems into computerized system. The propose system is way better compared with the

manual system that they are currently using. With this system, they can avoid most of the major

problems that most people encounter in manual record management. The researcher’s objectives

are to develop a records management system that will help them manage their important files and

documents properly and to make their work faster, easier and more convenient. With the use of

the Electronic Records and Documents Management System, it is easier for them to store,

manage and keep track of all their documents. The researcher’s aims to develop the following

features of the system; they can ensure the security of the system wherein the only authorized

personnel can access the system. There are 3 types of users in the system. Administrator, User

Account and Temporary Account. The Administrator will be responsible for creating users as

well as providing some restrictions to the system. The administrator also has the full access to

the system. The User Account on the other hand is for authorized employees. They can access

the system but some features are restricted. These features cannot be access unless authorized by

the Administrator. And lastly, the Temporary Account. This type of user is almost the same with

User Account. The only difference is that the Temporary Account is more restricted and they can

only access the system on a limited time given by the Administrator.

The proposed Electronic Records and Documents Management System for Provincial Disaster

Risk Reduction Management Office (PDRRMO) Zambales aims to solve the issues by providing

innovative solutions to their current system. Since Provincial Disaster Risk Reduction
Management Office is currently using a traditional manual system, the researcher come up with

the following solutions. Transaction will be faster and easier. The data will be organized and the

user can easily access or retrieve the data. Since the system is computerized, the man power

needed will be lessen. Lost data will also be avoided because the database is back-up and can be

recovered anytime. And mostly, by using the Electronic Records and Documents Management

System for Provincial Disaster Risk Reduction Management Office (PDRRMO) Zambales, the

use of paper will be lessened and physical storages will be irradicated. Furthermore, as we

experience pandemic today, limited employees are allowed to go their work. With the use of the

Electronic Records and Documents Management System for Provincial Disaster Risk Reduction

Management Office (PDRRMO) Zambales, fewer employees will be required to utilize the

system. This will limit themselves in disclosing to other people. This will ensure the wellness of

both employees and visitors.

Every day, the Provincial Disaster Risk Reduction Management Office (PDRRMO) Zambales

produces and receives a large number of of documents as it carries out its work. These record

planning, communications, decisions and countless transactions involving and affecting citizens,

other government and private organizations. Reliable records are needed by Provincial Disaster

Risk Reduction Management Office (PDRRMO) Zambales to function effectively. So the

Electronic Records and Documents Management System for Provincial Disaster Risk Reduction

Management Office (PDRRMO)Iba, Zambales could be a big help to make their job more

effective and easy.

STATEMENT OF THE PROBLEM

The main problem of this research study is the development of the Electronic Records and
Documents Management System which will be evaluated by the IT enthusiast and the Provincial
Disaster Risk Reduction Management Office (PDRRMO)Iba, Zambales.
It sought to provide answers to the following questions:
1. What is the level of system quality of the Electronic Records and Documents
Management System (EDRMS) as perceived by the IT enthusiast using the ISO
25010:2011 using the metrics:
1.1 Functional Suitability;
1.2 Performance Efficiency;
1.3 Compatibility;
1.4 Usability
1.5 Reliability;
1.6 Security;
1.7 Maintainability; and
1.8 Portability?

2. What is the level of acceptability of the Electronic Records and Documents Management
System (EDRMS) for for Provincial Disaster Risk Reduction Management Office
(PDRRMO)Iba, Zambales?
2.1 Content;
2.2 Accuracy;
2.3 Ease of use;
2.4 Timeliness; and
2.5 Security?

SCOPE AND LIMITAION

This study provides information about the documentation and report of Provincial Disaster Risk
Reduction Management Office (PDRRMO)Iba, Zambales under the three sections: admin and
training; research and planning; and operation and warning.
The administrator is the one who will confirm the account of other users and give restriction to
them. The administrator can update the restrictions to its user every now and then.
Administrator can also add, edit, update, retrieve and delete items from the
system. In short, administrator has the full access to the system.
The user can access some part of the system that administrator assigned to him/her. The users
are usually the staff or employee of Provincial Disaster Risk Reduction Management Office
(PDRRMO) Iba, Zambales.
Temporary users are almost the same with the user, the only difference is that temporary
account has more restricted and they can only access the system in a limited time. The
temporary users are the one who has a time duration in using the system and once it reached
the time span given to him/her, the account will automatically block unless the administrator
permitted.
The system can generate and analyze reports from the data given by the users. Reports
include Provincial Disaster Risk Reduction Management Office (PDRRMO) documentation,
guidelines, memorandum, hazard zone and advisories provided to the public when there is a
disaster.