DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES OFFICE, Document ID ${document_id}

REGION 10
Puntod, Cagayan de Oro City Revision No. ${revision}
Email address: r10@denr.gov.ph | Tel. No.:
Date Issued ${date_issued}
RISKS, OPPORTUNITIES, ANALYSIS AND ACTIONS PLANNING
(ROAAP) Page No. 1 of 6
CONTROL OF RECORDS

Originator: Reviewed by: Approved by:

Administrative Division Chief, Administrative Division Regional Executive Director

Risks/Opportunities Analysis and Actions Planning

Assessment Team: Records Unit Last Analysis Date: Last Evaluation Date:

Process: Control of Records (retained) Process Owner: Records Officer

Interested Parties – Needs and Expectations: (±) Internal and External Issues:

a) Requesting Party: Readable and availability of the documents under the custody of the Internal:
Records Officer (+) Clear and availability of documents on file
b) Regional Executive Director: Timely and immediate action of Records Officer on any (+) Existing good practice on records maintenance
requests for documents and proper inventory, appraisal and disposal of records
(-) Lack of experience of Records Unit on the procedure of records disposal
c) Records Officer: Receives approved and original copies of documents for
recordkeeping and duly accomplished request forms (-) Voluminous records against shortage of labor
d) Records Custodian: Availability of material resources to improve and protect records External:
from deterioration, loss or damage (+) Adoption of digital storing of records through DENR 10’s Digital Archiving
System (DAS)
(+) Presence of functional ICT support team
(-) Slow and/or breakdown of office equipment (i.e. scanners, desktop computers)
or information systems

Planned Results Analysis Actions Planning Evaluation of

Check the Master Document Register. Verify that this is the current version before use. Documents that do not bear the DENR’s official document stamps are considered “Uncontrolled” $
{qr_code
}
 DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES OFFICE, Document ID ${document_id}
REGION 10
Puntod, Cagayan de Oro City Revision No. ${revision}
Email address: r10@denr.gov.ph | Tel. No.:
Date Issued ${date_issued}
RISKS, OPPORTUNITIES, ANALYSIS AND ACTIONS PLANNING
(ROAAP) Page No. 2 of 6
CONTROL OF RECORDS

Originator: Reviewed by: Approved by:

Administrative Division Chief, Administrative Division Regional Executive Director

Effectiveness
Planned Planned
(Expected Action Taken
Recommended Responsible and Result Activity
Output, MFO) Risk Existing Controls Opportunity and Date
Additional Control Target Date Achieved? Realized?
Completed
Y/N Y/N
Records are Incomplete The Records Officer scrutinize Completeness of the The document - Concerned
readily data and the documents, ensuring that records originators/offices document
identifiable unreadable it’s the original copy/ies prior should ensure the originators/
records to receiving. If documents are completeness and offices
unreadable and incomplete, the readability of the - Records
Records Officer returns the records prior to Officer
documents to the document submission to the - Open-ended/
originator Records Officer Unspecified
timeframe

Records are Non- The Records Officer presents An advisory or notice Awareness and - Records
easily retrievable of the inventory list of valueless shall be made to dissemination of the Officer
retrievable records as records for disposal including announce the approval DENR - Records
included in the NAP’s approved Request and conduct of records Memorandum Custodian
disposed for Authority to Dispose of disposal Circular No. 2010- - Submits

Check the Master Document Register. Verify that this is the current version before use. Documents that do not bear the DENR’s official document stamps are considered “Uncontrolled” $
{qr_code
}
 DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES OFFICE, Document ID ${document_id}
REGION 10
Puntod, Cagayan de Oro City Revision No. ${revision}
Email address: r10@denr.gov.ph | Tel. No.:
Date Issued ${date_issued}
RISKS, OPPORTUNITIES, ANALYSIS AND ACTIONS PLANNING
(ROAAP) Page No. 3 of 6
CONTROL OF RECORDS

Originator: Reviewed by: Approved by:

Administrative Division Chief, Administrative Division Regional Executive Director

records Records and Certificate of 16 (Implementation RADR for

Disposal as evidence that the of the Approved approval and
requested documents for Records Retention proposal to
retrievable are no longer and Disposition conduct
available Schedule) disposal of
records at least
once a year
Delayed The Records Officer refers the Printed original copies The Records Officer - Records
retrievable of retrievable of specific of records are scanned shall direct the Officer
due to documents to the assigned and uploaded in the assigned Records - Records
voluminous Records Custodian of the Digital Archiving Custodian in the Custodian
records Digital Archiving System System (DAS) as Records Storage - Create/update
(DAS) for easy retrievable digital storage of the Area to keep an records in
Records Unit inventory of all DAS every
printed original 20th day of the
records to scan and month
upload in the DAS
and continuously
updates for added
documents per
record

Check the Master Document Register. Verify that this is the current version before use. Documents that do not bear the DENR’s official document stamps are considered “Uncontrolled” $
{qr_code
}
 DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES OFFICE, Document ID ${document_id}
REGION 10
Puntod, Cagayan de Oro City Revision No. ${revision}
Email address: r10@denr.gov.ph | Tel. No.:
Date Issued ${date_issued}
RISKS, OPPORTUNITIES, ANALYSIS AND ACTIONS PLANNING
(ROAAP) Page No. 4 of 6
CONTROL OF RECORDS

Originator: Reviewed by: Approved by:

Administrative Division Chief, Administrative Division Regional Executive Director

No records The Records Officer validates Records are well- The Records Officer - Records
found and verifies the document in the arranged and labeled shall inform and Officer
records held in custody to properly for easy notify the document - Records
confirm that the document checking and originator or office Custodian
where not received and verification of records responsible of the - Create/update
recorded in the Records Unit kept documents to keep inventory lists
their own record of records
files to avoid every quarter
misplacement or loss
of documents
Unstable The assigned Records ICT support team are The Records Officer - Records
internet Custodian on DAS informs the functional, well- shall recommend the Custodian
connect/ ICT support team on the equipped and prompt assigned Records - ICT Personnel
technical technical difficulties/issues on resolving ICT- Custodian for a - Open-ended/
difficulties in related issues learning intervention unspecified
DAS on basic ICT timeframe
operations required
in records
management

Check the Master Document Register. Verify that this is the current version before use. Documents that do not bear the DENR’s official document stamps are considered “Uncontrolled” $
{qr_code
}
 DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES OFFICE, Document ID ${document_id}
REGION 10
Puntod, Cagayan de Oro City Revision No. ${revision}
Email address: r10@denr.gov.ph | Tel. No.:
Date Issued ${date_issued}
RISKS, OPPORTUNITIES, ANALYSIS AND ACTIONS PLANNING
(ROAAP) Page No. 5 of 6
CONTROL OF RECORDS

Originator: Reviewed by: Approved by:

Administrative Division Chief, Administrative Division Regional Executive Director

Records are Deterioration The assigned Records The Records Officer The Records Officer - Records
protected from or degrading Custodian conducts a quarterly and assigned Records shall recommend the Officer
deterioration, of papers records maintenance of the Custodian are the only assigned Records - Records
loss, or damage causing Records Storage Area to keep authorized personnel Custodian for a Custodian
damage the records from damages allowed to browse the learning intervention - Conduct
records to avoid to be updated on records
mishandling, losing, records management maintenance
and damaging the every quarter
documents

Records are Unauthorized The Records Officer and The Records Officer The Records Officer - Records
secured from individuals assigned Records Custodian are constantly reminds the shall inform all Officer
data tampering get hold of the only authorized personnel assigned Records DENR personnel on - Records
and the records allowed inside the Records Custodian to check Do’s and Don’ts in Custodian
unauthorized Storage Area and have the sole and monitor the records management - Create/update
access access to the Digital Archiving Records Storage Area and the assigned inventory lists
System (DAS) and DAS for any Records Custodian of records
irregularities and shall shall notify the ICT every quarter
keep the office locked support team for any - Update/change
when unattended irregularities DAS password
observed in the every quarter
accessibility of the
DAS

Check the Master Document Register. Verify that this is the current version before use. Documents that do not bear the DENR’s official document stamps are considered “Uncontrolled” $
{qr_code
}
 DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES OFFICE, Document ID ${document_id}
REGION 10
Puntod, Cagayan de Oro City Revision No. ${revision}
Email address: r10@denr.gov.ph | Tel. No.:
Date Issued ${date_issued}
RISKS, OPPORTUNITIES, ANALYSIS AND ACTIONS PLANNING
(ROAAP) Page No. 6 of 6
CONTROL OF RECORDS

Originator: Reviewed by: Approved by:

Administrative Division Chief, Administrative Division Regional Executive Director

Records are Superseded The Records Officer and The assigned Records The Records Officer - Records
retained as long and assigned Records Custodian Custodian shall submit a report Officer
as they are replaceable conducts an inventory of all continuously update a on the inventoried - Records
needed records are records to determine valueless list of documents filed records Custodian
still retained records for disposal in in the Records Storage distinguishing - Submits
accordance to the NAP’s Area documents that are RADR for
General Records Disposition already superseded approval and
Schedule and submits Request and replaceable and proposal to
for Authority to Dispose of propose to conduct conduct
Records for approval records disposal at disposal of
least once a year records at least
once a year

Prepared by: Reviewed by: Approved by:

${originator_sign} ${reviewer_sign} ${approver_sign}

${originator_name} ${reviewer_name} ${approver_name}
${originator_position} ${reviewer_position} ${approver_position}
Date: ${date_prepared} Date: ${date_reviewed} Date: ${date_approved}
${initial_sign}
Check the Master Document Register. Verify that this is the current version before use. Documents that do not bear the DENR’s official document stamps are considered “Uncontrolled” $
{qr_code
}