Professional Documents
Culture Documents
SUBMITTED TO THE
SCHOOL OF LIBRARY AND INFORMATION STUDIES
UNIVERSITY OF THE PHILIPPINES DILIMAN
UNIVERSITY OF THE PHILIPPINES SYSTEM
IN PARTIAL FULFILLMENT OF THE REQUIREMENTS
FOR THE DEGREE OF
JULY 2015
28 July 2015
Sincerely yours,
__________________
RECHELLE O. COMIA
LIMITED ACCESS AUTHORIZATION
(For Potentially Patentable Thesis/Dissertation)
TITLE:
Rechelle O. Comia
Student
Yes
No
No
BIOGRAPHICAL DATA
Name
Date of Birth
30 April 1986
Place of Birth
Caloocan City
Educational Attainment
Professional Eligibilities
Present Position
Executive Assistant I
Office of the President
University of the Philippines System
Diliman, Quezon City
October 2010 present
Organizational Affiliation
ACKNOWLEDGEMENTS
This study would not be possible without the kind help and support of my
family, friends, mentors, and colleagues.
I am deeply thankful to my adviser, Prof. Benedict Salazar Olgado, for his
support, advices, valuable comments and expert guidance throughout the course of
my study. Without his guidance, this endeavor would not be completed on time.
am also sincerely grateful to Ms. Eimee Rhea C. Lagrama for sharing her precious
time in providing critical comments and suggestions to further improve my study.
To my friends and colleagues in the University of the Philippines who also
call for better UP services through the efficient management of records, thank you
for sharing your valuable insights and experiences. My heartfelt thank you goes to
Ate Anna, Ate Nor, Ate Dulce, Ate Loise, Ate Jo-An, Ate Agnes, Ate Remy, Ate
Grace, Ate Lorna, and of course to my OP family, especially to Maam Chit and
Maam Nette. Thank you for your patience and assistance. I am also thankful to
Shayne, Chad, and Donna for fruitful discussions and brainstorming sessions.
I am sincerely grateful to President Alfredo E. Pascual and his team for their
support and confidence in me. Their approval of my request to conduct the study in
their respective offices facilitated the completion of this study.
I am also acknowledging with profound gratitude, the full support and love of
my family my parents, Rolando and Cecille; my siblings, Ronnel, John Rhey,
Precious May, Monica Shayne and Eloisa Marie; and of course my husband and son,
vi
Michael and Yves. You are my inspiration to keep going. I love you all from the
bottom of my heart.
Lastly, I am giving all the honor and praises to our Lord for all His blessings
and guidance for me to accomplish my goals in life.
Thank you all for being part of this endeavor.
vii
DEDICATION
viii
ABSTRACT
For more than a hundred years as the leading university in the Philippines,
the University of the Philippines (UP) has long struggled in managing its records. A
number of studies on records management in the University confirm and illustrate
this. The results of the assessment and self-audit conducted in this study, through the
best practices of ISO 15489 and RA 9470, also suggest that same observation.
The self-audit tool measured that UPs compliance with ISO 15489 and RA
9470 is only at the low rate of 13%. Though the University achieved 24% for partial
compliance on some of the provisions, the sum is still less than 50%. The very high
rate of non-compliance (63%) should be a wakeup call to every stakeholder of the
University that the conduct of a comprehensive study and formulation of immediate
and long-term solutions about the current status of records management in
the University are ardently needed.
Moreover, the assessment highlights that UP: (1) has no official central
records office; (2) has no established/in place records management program and
common tools; (3) has no proper documentation of the established practices; (4) is
unfamiliar with the provisions ISO 15489 and RA 9470; (5) has no systematic
staffing pattern, with few qualified records officers who are not evenly distributed
throughout its units, and constantly changing records personnel; (6) has no proper
training program for its records personnel; (7) is struggling from a number of records
issues, particularly the inadequate records storage; (8) failed to address the problems
cited in earlier studies and neglected the recommendations stated therein; and, (9)
ix
has started to manage electronic records despite the current problematic management
of paper records.
Given these, the University should then exert efforts on managing its records
effectively as the problems associated with inefficient records handling deter smooth
business transactions within the University and put the vital records of the University
in peril.
TABLE OF CONTENTS
Chapter
Page
I. INTRODUCTION ......
1
12
13
14
15
17
17
III. METHODOLOGY.......
39
39
40
41
43
43
45
xi
23
27
30
30
33
45
51
59
62
102
103
106
112
116
xii
134
196
199
220
221
229
230
231
LIST OF TABLES
Table
Page
46
47
48
49
50
50
60
61
64
67
71
73
77
78
83
85
86
89
93
99
xiii
xiv
LIST OF FIGURES
Figure
Page
1. UP organizational chart .
31
32
65
69
70
71
74
79
82
85
90
91
xv
CHAPTER I
INTRODUCTION
launched in 2001.
The provisions of ISO 15489 and RA 9470 were the foundation of this study
in assessing the records management in the University. The use of ISO 15489
necessitated the inclusion of the RA 9470 as it prescribes the recognition of the
regulatory environment.
The University of the Philippines and an Overview of its Records Management
Practices
UP was founded on 18 June 1908 through Act No. 1870 of the Philippine
Assembly. It was mandated to give advanced instruction in literature, philosophy,
the sciences and arts, and to give professional and technical training to every
qualified student regardless of age, sex, nationality, religious belief and political
affiliation (University of the Philippines [UP], 2015, University History). It
celebrated its 100 years of existence in 2008. During UPs centennial year it was
gifted with a new charter (Republic Act No. [RA] 9500) instituting UP as the only
business process and to safeguard its valuable records for its continuing existence.
UPs adherence to the RA 9470 must also be strictly monitored. Being a
government unit, the records of UP are considered public records. According to RA
9470, public records refer to:
records or classes of records, in any form, in whole or in part,
created or received, whether before or after the effectivity of this
Act, by a government agency in the conduct of its affairs, and have
been retained by that government agency or its successors as
evidence or because of the information contain therein. (RA 9470,
2007, p. 5)
Ignorance about and non-compliance with RA 9470 may jeopardize the
integrity of the University and its records personnel as it involves punishment under
the law.
The current records management practices of UP differ from one office to
another. These may be attributed to the structure of the University being a system of
seven (7) constituent universities and an autonomous campus located strategically
throughout the country. The UP campuses are UP Diliman, UP Los Baos, UP
Manila, UP Visayas, UP Open University, UP Mindanao, UP Baguio, and UP Cebu.
This system of campuses equips the University to better perform its mandate of
serving the nation. The constituent universities are governed by chancellors, while
the UP President manages this system of campuses (UP, 2015, Administration). The
University President is the chief academic officer, head of the university faculty and
the chief executive officer of the University (RA 9500, 2008, Sec. 14). The
management of the constituent university is vested in the Chancellor insofar as
authorized by the Board and the President of the University (RA 9500, 2008, Sec.
18).
Having a system of campuses does not exempt the University from
implementing a standard in records management throughout its campuses, as
supported by the OneUP principle.
of the constituents of the University that they are one despite the differences in
location and specialization (Pascual, 2011). This principle intensifies the need for a
standard records management in the University. The study aims to highlight some of
the similarities on the records management practices throughout the University.
Aside from OneUP, another strategic initiative of the Pascual administration,
which may concern records management, is the eUP Project. This is the flagship
project of the Pascual administration.
10
They associate
11
12
observed. Because of these, records managers are not inclined to submit to any
policy or guidelines and are discouraged to cope up with the fast development phase
of records.
13
14
15
interview and survey. It also increases awareness and interest on the records
management in UP which may commence efforts to improve and standardize the
practice. The study is also deemed necessary to address the issues confronted by the
University in managing its records.
Also, the study may be an eye-opener for every stakeholder of the University
about the importance of records management. The effective and efficient
management of records may start to be listed in UPs priority program, like the
possible inclusion into eUP Project in the next years.
The efforts to analyze the records management practices of UP may lead to a
major effort on its standardization.
16
the Chancellors or Deans Office for UP Cebu) and the central/official records office,
if any, were included in the study. For the UPSA, the Office of the President (OP)
and the Office of the Secretary of the University and of the Board of Regents (OSU)
were included; OP being the highest decision making office in the University and
OSU as the manager of the major vital records of the University. These offices can
adequately represent the entire University for this particular study as these offices are
the heart of major business activities of the University.
As for the type of records to be analyzed, it is limited to what the subject
offices process. These records are mostly administrative in nature. These include
memoranda, administrative orders, executive orders, incoming and outgoing
communications, university policies materials, to name a few.
The researcher is aware that records management comes along with archives
management. This study primarily focuses on active, semi-active and non-active
records, hence records management was the main highlight of this study. But a brief
section on archives management was discussed in Chapter IV for a comprehensive
analysis of the life cycle of the records in the University.
CHAPTER II
REVIEW OF RELATED LITERATURE
On Records Management in UP
The UP administration exerted efforts to study the records management in the
University.
18
records; (2) UP has inefficient and diverse records creation practices; (3) UP
struggles from lack of space, equipment and manpower; (4) records disposition was
neglected by UP records personnel; and, (5) albeit the presence of OGS, UP units
still filed their own records in their offices, making formers role unclear.
19
20
each unit as an addition to the Archives collections of the University Library (UP
Gazette, 1982). All these directives aim to preserve the archival records of the
University if only strict compliance is enforced.
The pilot run of the first UP document tracking system (DTS) was launched
in 1976 through a memorandum order issued by the UP President.
This was
21
status of UPs records management practices. It is evident that even in the 1970s, the
University has been facing a number of records issues.
Beyond UPs effort, several researchers showed interest in assessing the
records management of the University. Granda (1981) made a survey to find out
existing practices, programs, conditions, and problems of records operation of UP,
being one of her eleven (11) subject colleges and universities in Quezon City and
Manila. Her findings include the following: (1) no definite unit to initiate the
Records and Archives Management Program, (2) dearth of regular records personnel,
(3) no definite policy or standard procedures, (4) lack of space and equipment for
records storage, (5) deficiency in mail operations, (6) absence of authority to
coordinate centralized and decentralized records management, (7) no uniform and
standard classification and filing scheme, (8) ineffective control files, (9) inadequate
plan and system of records transfer and disposal, and (10) poor records preservation.
Hortillo (1990), in her proposal, highlighted the need for a university archives
and records center for the University of the Philippines in the Visayas. She shared
almost the same observations as Grandas, adding that records personnel have
adequate educational attainment but no formal training in records management prior
or during the course of their work. She also revealed that the campus was only 20%
ready to go electronic during the duration of her research.
In relation with computerized DTS, Loyola (2001) studied the readiness of
UP Diliman to have a common DTS for document-monitoring needs of all units of
said campus. She revealed that 79% of the administrators believed that a common
22
DTS is highly needed in Diliman but they however expressed their doubts that the
project could be successfully implemented, as there were issues on resources and
competing needs.
Ching (2003) assessed the records retention and dispositions practices of the
UP Diliman Health Service-Records Section with employee and student records as
samples. She found out that the storage problem of the unit was due to its poor
records disposal and inventory procedures. The unit was also non-conforming with
the legal retention and disposition schedule for medical records.
Another unit of the University, the Office of Student Regent (UP OSR), was
assessed by Peoro (2007). The study focused on the functional aspects of
recordkeeping, (records creation, records maintenance and control, records
protection, storage and retrieval, and records disposition and retention). His research
stressed that the unit was facing an increasing rate of lost records due to the absence
of a clear and strict policy on records management. He also added problems relating
to limited space and inadequate equipment, and the difficulty in retrieving records.
The studies of Granda, Hortillo, Loyola, Ching and Peoro have common
findings on the current state of the records management in the different units of the
University.
management in UP.
records management in the different units of the University. The findings and issues
raised in these studies helped in the formulation of assessment and observations in
this study.
23
system in 2014 and proposed a new DTS for use of the University. Future study on
UP DTS may focus on this newly developed system benchmarking on the study
conducted by Sueno.
Other
24
Aquino (1984) had a similar research to Hortillos but for another state
university, the Mindanao State University (MSU). She did a survey on the records
management practices and archives administration in MSU.
accompanied with a plan for the creation of a university archives and records center.
Mallari (2000) studied the recordkeeping practices of academic and
administrative offices in New Era University. He concluded that recordkeeping of
the New Era University was defective, the records personnel were untrained, there
were inadequate records security measures, limited storage space, ignorance on the
importance of records inventory, and the absence of records retention and disposition
guidelines.
The Commission of Higher Education (CHED) was a subject institution of
Manahan (2009) in her research paper.
disposition practices of said agency. The agency has a central records office since
1994, but despite the presence of a centralized records office, CHED failed to do
records inventory. The task of the records office was limited to listing of all records
received and created by the agency. She also revealed that CHED had no records
retention and disposition schedule and had no clear guidelines and criteria of records
appraisal.
This study shows that CHED, the commission in-charge all state
universities in the country, also finds it hard to submit its practices to the acceptable
best practices on records management.
Klc (2009) examined the records systems of selected Turkish and
Canadian universities.
25
differences of each of the system used by the University of British Colombia (UCB)
- Canada, Simon Fraser University (SFU) - Canada and Hacettepe University (HU) Turkey. The two Canadian universities had records management programs in place
while the HU has been trying to develop a records management program. Despite
the presence of records management programs in UCB and SFU, these universities
experience more problems in filing and classification than HU. These problems
stemmed from the fact that some of the Canadian university offices tend to redesign
their filing system and develop their own internal records management program.
While in HU, offices adopted a standard filing system used nationwide and governed
by a central agency and the National Archive of Turkey. Klc revealed that the
three universities spend approximately three hours in a working day on records
procedures. Also, the universities experience records access problems at least twice
a month. The issues cited in the study of Klc were the main records issues
provided in the questionnaires of this study.
benchmark on the most effective way to capture the actual records issues in an
academic institution like UP.
The top 10 government corporations and financial institutions in Metro
Manila were the subjects of Golfo (2010) in her study. She stressed that among
government agencies, like UP, effective records management is a fundamental and
core activity of public sector management. Her study revealed 66% compliance rate
of the agencies to standard and best practices of records management.
She
26
practices and existing standards in archives and records management set by NAP and
ISO 15489.
Buenrostro (2010) studied the management and preservation practices of the
postwar or contemporary records of the provincial records division in Bulacan. She
discovered that none of the city offices (Malolos, Meycauayan and San Jose del
Monte) have centralized repositories for their semi-active and inactive records. The
records management practices in said offices were not standardized as well.
In 2012, Juanson explored the extent of compliance of 14 out of the 15
selected barangays in Quezon City with the RA 9470, IRR of the RA 9470, RA
7160, DECS Order No. 13-A and DECS Order No. 13-B. She concluded that none
of the barangays have existing archival system and most of the barangay policies on
archives and records management were not formally written. She also found out that
only 3 out of the 14 barangays have centralized receiving and releasing units, only 9
barangays have mini-archives, none dispose public and protected records, only 8
barangays have a records officer, and barangay officials are more aware of the laws
stated in local government code than RA 9470.
The Manuel S. Enverga University Foundation, a university with several
campuses, was studied by Macapia in 2014. She found out that the campuses have
no central storage room and records center resulting to filing of records per office.
She also highlighted that there was no budget allocation for records management
activities. She discovered the effort of some units to develop a standard for records
creation, and she then recommended a centralized records center for semi-active
27
records that could also be a venue for archival appraisal. Also in 2014, Mampusti
studied the recordkeeping and archiving practices of another government unit, the
National Housing Authority (NHA).
background and skills to the quality of recordkeeping and archiving practice of the
NHA.
recordkeeping practices of the agency to carry out its daily business operations.
All of the cited researchers agreed that the strict implementation of a
standardized records management program ensures smooth business processes
within an institution. These studies show that a number of government and higher
education institutions in the Philippines and abroad also encounter a several records
issues which should not be neglected. These issues were considered in crafting the
questionnaires of this study.
The
investigation was conducted between January 2002 and March 2003. The results
showed a relatively high level of awareness of the standard and very positive
28
reactions despite the imperfections of said standard. Her study revealed that many
plan to use the standard for policy/strategy development, to serve as basis for records
management procedures and to benchmark their current records management
practices. She added that many records professionals plan to utilize the standard to
raise the profile of their organizations records management. This study shows how
acceptable the ISO 15489 to the many records professionals even at the onset of the
standards implementation.
In Jamaica (Alexander-Gooding & Black, 2005), a group of records
management professionals joined forces to determine how they can take advantage
of ISO 15489 in advancing records information management. Jamaica has had a
strong recordkeeping practice with no effort to develop a retention schedule. In this
study, they highlighted the strengths as well as the weakness of the standard. Some
of the identified weaknesses of the ISO 15489 were (1) it is just a voluntary
standard; (2) it does not include the management of archival records; (3) it does not
adequately cover electronic records; and, (4) it does not address vital records and
contingency planning (pp. 64-65). As of 2007, the technical committee had
presented the adopted the ISO 15489 to the Bureau of Standards in Jamaica, for
approval. These weaknesses suggest possible hurdles in the implementation of ISO
15489 in UP.
Xiaomi and Jiao (2004) introduced and assessed the Chinas records
management practices against ISO 15489.
discussing how the ISO contributes to the identification of gaps between best
29
30
31
15849 and the RA 9470 that are relevant in the assessment of the records
management practices in UP. Some of the major provisions are shown in the figure
below:
Establishment of records
/archives management
program/policy
Appointing a records officer and
defining responsibilities and
authorities
Training of records personnel
inclusion in the study. These were considered in the methodology of the study, as
well as in crafting and finalizing of the self-audit tool.
32
Self-Audit
Tool
(Precrafted)
Survey
Questionnaire and
Interviews
Assessment,
Conclusions, and
Recommendations
University of
the Philippines
(UP)
Conclusions and
33
Definition of Terms
Administrative records - document that relates to housekeeping functions (such as
management of the facilities, finances, and personnel) and to agreements,
contracts, meetings, legal actions, etc. (Business Dictionary.com, 2015)
Access refers to the granting of permission to: (1) use the reference service of an
archives institution; (2) examine and study individual archives and records or
collections held by archives; and (3) extract information from archives and
records for research or publication (Official Gazette, 2009, p. 1715)
Archives refers to (1) public records, papers, periodicals, books or other items,
articles or materials, whether in the form of electronic, audio-visual, or print,
which by their nature and characteristics have enduring value, that have been
selected for permanent preservation; (2) the place (building/room/storage
area) where archival materials are kept and preserved; and (3) an organization
(or part of an organization) whose main function is to select, collect and
preserve archival records and make such records available for public use
(Official Gazette, 2009, p. 1715-1716)
34
Audit review or scrutiny of any system or process that make up a system. The
main purpose of an audit is to provide assurance that systems and processes
are effective, compliant and risk free. It also provides a mechanism for
regular scrutiny and improvement of systems. (Health & Social Care
Information Centre, 2015, Introduction)
Capture - is the process of determining that a record should be made and kept. This
includes both records created and received by the organization. It involves
deciding which documents are captured, which in turn implies decisions
about who may have access to those documents and generally how long they
are to be retained. (ISO 15489:2-2001, p. 14)
Classification is the process of identifying the category or categories of business
activity and the records they generate and of grouping them, if applicable,
into files to facilitate description, control, links and determination of
disposition and access status (ISO 15489:2-2001, p. 16)
Convenience files a file containing duplicates of records kept near the point of use
for ease of reference (Society of American Archivists, 2015, Glossary Terms
C)
Destruction process of eliminating or deleting records, beyond any possible
reconstruction (ISO 15489:1-2001, p. 2)
Disposition range of processes associated with implementing records retention,
destruction or transfer decisions which are documented in disposition
authorities or other instruments (ISO 15489:1-2001, p. 3)
35
36
37
38
CHAPTER III
METHODOLOGY
Chapter III describes and discusses the design of the research, the intended
respondents, the instruments and methods to collect data, and the analysis of the
collected data.
Research Design
The descriptive research approach was employed by this study. Through this
method, the researcher was able to observe and capture actual situations, problems,
phenomenon, services, and programs of the subject offices.
40
questionnaire. The third phase was the presentation of the data in tables, the textual
analysis of the results, and the setting of results to the self-audit tool (Appendix I-A)
to measure the compliance of the University with the ISO 15489 and RA 9470.
Lastly, conclusions and recommendations were offered to improve and help the
records management practices in UP to be compliant with the ISO 15489 and the RA
9470. A self-audit tool was also proposed for use of the University (Appendix I-B).
The main
respondents were from the top-level offices of the University. These offices are the
Office of the President, Office of the Secretary of the University and of the Board of
Regents, Offices of the Chancellors, and the Office of the Dean for UP Cebu. The
records office of UP Los Baos, UPLB Record Management Office (RMO), was
included in the study which is one of the two established records offices in UP (OSU
is the other which was established by UP Charter). The records officers/personnel
were the main respondents with a total number of 17 participants.
The researcher asked the participation of at least one personnel from each
office.
personnel doing records management functions was solicited. The heads of unit
(University President, Secretary of the University, Chancellors, and Dean) were also
41
responded to the short questionnaire (Appendix III-D) which was sent via email.
Support towards the standardization of UP records management was also sought
through the farmed out survey questionnaires.
Research Instruments
Survey
questionnaire
and
interviews,
as
well
as
the
study
of
address the specific problems stated in this study. The questionnaire has two parts,
42
Part I listed the documents that were requested from the main respondents and Part II
contained the questions to capture the actual practices in each office. It was planned
to request copies of all available documents as listed in Part I, but the respondents
hesitated to release a copy of outdated and draft documents. But the researcher was
able to read and analyze these documents through the conducted interviews. Part II
was further sub-divided into the records management processes and controls as listed
in the ISO 15489, namely, records capture, records registration, records
classification, storage and handling, access to records, use and tracking,
implementation of disposition, documentation of the records management processes,
monitoring and audit, and training. Sections on electronic records, archival records,
records issues and standardization of records management in UP were also included.
Most of the questions had choices to guide the respondents in answering. Some
questions required the respondents to rate the given entry and to give their own
perspective about it.
The questionnaires for the heads of units and selected records clients were
designed to capture their perceived status of current records management practices
and records issues in the University, and their support towards a common records
management program for UP. These questionnaires were sent via email, particularly
through Google forms.
Also, site visits enabled the researcher not only to inspect the physical set-up
of the records but also to have a more personal and in-depth interview with the
records managers/personnel.
43
Data Collection
An authorization letter approved by the University President was secured
before farming out the letter-request and questionnaires to the target offices. After
securing the Presidents authorization, the researcher then requested the permission
to conduct survey, interview, and site visits through a letter-request addressed to the
Chancellors and Dean, attaching a copy of the survey questionnaire for their records
personnel (see Appendix IV). The letter-request also informed the heads that a short
online questionnaire was sent to their email addresses for their participation.
The questionnaire for selected records clients were also sent via email. A
follow-up phone call was made by the researcher to inform them of the emailrequest.
The collection of data started in late April 2015 and was completed in June
2015.
Analysis of Data
The results of the data gathering were presented in tables to visually capture
the current state of the records management practices in the University. Presentation
in tables also helped the researcher in getting the dominant practices of the
University. It also highlighted the constituent units of UP with the most advanced
records management practices.
44
After the results were presented in tables with corresponding textual analysis,
the results were then plotted to the self-audit tool. The tool clearly showed the
compliance and non-compliance of each campus with the provisions of the ISO
15489 and RA 9470. The tool gauged the compliance rate of each UP campus, and
the University as a whole. The compliance rating of each of the unit was calculated
through the count of total number of provisions met over the total number of
provisions listed in the self-audit tool. To calculate the overall compliance rating of
the University, the results of the compliance of each unit were plotted in one general
table. The average compliance rating by provision provided the overall compliance
rating of the University.
As for the common perceived records issues, its reasons, and the current state
of the records management in UP of the records personnel, the mean rating was
calculated to capture general thoughts of the respondents.
CHAPTER IV
DATA PRESENTATION
In this chapter, the results of the data gathering conducted by the researcher
are presented and analyzed.
analysis. Pictures and images are added to support the analyses of the researcher.
This chapter contains the following topics: profile of the respondents, overview on
the subject units and its records management, general information on the University
records, records management practices in UP and its compliance with ISO 15489 and
RA 9470, issues on Universitys records management practices, and the
standardization of UPs records management.
46
Table 1
Distribution of Respondents by Group
Groups of Respondents
Records Officers
Personnel in-charge of records
Heads of units
Selected records clients
Total
Frequency
2
15
10
5
32
47
Count
1
1
1
1
4
2
1
1
2
1
2
17
Majority of the main respondents are not records officers. Thirteen out of the
17 respondents hold non-records officers positions.
presented in Table 3.
48
Table 3
Distribution of Main Respondents by Position Title
Position Titles of Main Respondents
Records Officer V
Records Officer III
Executive Assistant I
Administrative Officer V
Administrative Officer IV
Administrative Officer III
Administrative Officer I
Senior Administrative Assistant I
Administrative Assistant VI
Administrative Assistant V (Private secretary )
Administrative Assistant II
Total
Frequency
1
1
1
3
1
2
2
1
1
2
2
17
Anyone can infer from the data shown in Table 3 that records management in
the University is primarily an additional task of the administrative staff. Only two
personnel from the top-level offices of the University hold records officer positions.
The records officers are from OSU and UPLB-RMO. These are also the units with
established records offices. Respondents from UPLB-RMO shared that though their
position titles are not records officers, they are full-time in managing records.
One respondent shared that he previously held a records officer position. But
because of the low salary grade, his office promoted him but to a non-records officer
position. This implies that the record officer positions in the University (and also in
other government agencies) may not be appealing anymore to anyone with
records/information management expertise.
49
Frequency
1
1
2
1
2
1
1
2
3
1
1
1
17
information and records management, they all have bachelors and masters degrees
which are enough to learn and understand the discipline of and skills on records
management. However, it is appropriate that the staff members assigned to manage
records are properly trained and have at least the basic knowledge before they
perform the function. But the University fails to observe this practice. A number of
respondents shared that they have yet to attend any basic training on records
50
Frequency
0
4
2
4
2
5
17
Table 6
Distribution of Main Respondents by Years of Service as Records Officer/Personnel
Years of Service as Records Officer/Personnel
1-5
6-10
11-15
16-20
21-25
30-up
Total
Frequency
6
3
2
2
4
0
17
51
The data shown in Table 5 reveals that the currently assigned records
personnel of the subject units have long been serving the University. Majority of the
respondents have served UP for more than 10 years. They are already familiar with
the daily operations and the business processes of the University. These experiences
are essential in performing their recordkeeping functions. However, Table 6 shows
that more than half of the respondents are just introduced to the management of
University records, serving as records personnel for less than a decade. Some of the
respondents also shared that there are no permanent staff in-charge of records
management in their offices. Aside from the formulation of appropriate training
program for records personnel, it is necessary for the University to have a standard
records management program to preserve and improve its best practices in spite of
the frequent change of the records personnel. As mentioned earlier, it is also an
important consideration that the assigned records personnel should have at least the
basic knowledge and skills before performing the task to avoid adoption of
inappropriate practices.
52
undergraduate and graduate students with more than 5,000 faculty members. It
offers around 500 degree programs.
of the UP President (OP) backstop the President in overseeing the operations of the
whole UP System and in ensuring that the goals set by the Charter, the directives
from the BOR and strategic initiatives of the University are all being implemented.
OP is composed of 9 permanent administrative staff members and 5 job
order/contractual personnel (see Appendix II for the organizational chart).
The
vision of the office depends on agenda or initiatives of the current UP President. Its
thrust also depends on the priority programs of the President.
53
54
management in the office with the help of another OSU staff. OSU has a dedicated
storage room for its records.
Under the governance of current Secretary of the University, OSUs priority
program is the digitization of its records or the eOSU Project. The eOSU Project is
discussed further in the next sections.
Office of the Chancellor UP Diliman (UPD-OC)
UP Diliman is largest campus in the UP System. The records section of the
Office of the Chancellor of UP Diliman serves as the main records office of this
diverse campus. The Office has a records officer and another records personnel who
has a contractual appointment.
UPD-OC has a dedicated area for its records. Its records storage facilities
and area have enough space to accommodate its current record holdings.
The
respondent from UPD-OC shared that given the volume of records coming in and out
of their office, records storage area was well-considered during the renovation of
their office.
Office of the Chancellor UP Los Baos (UPLB-OC)
UP Los Baos has an official records office which is the Records
Management Office - UPLB (UPLB-RMO). But in spite of the presence such
records office, Office of the Chancellor of UPLB still performs recordkeeping task
which is assigned to one of the staff of the office, as supervised by the senior
administrative officer.
55
UPLB-OC has assigned a room for its record holdings but this area is located
remotely from UPLB-OC. According to the records personnel of the office, UPLBOC has ongoing plan to transfer the records storage room near the office.
Records Management Office UP Los Baos (UPLB-RMO)
The UPLB-RMO is the official records office established by the BOR for
UPLB campus. UPLB-RMOs historical background is provided in Appendix II.
The mandates of the RMO are to:
1. formulate, implement, and continually analyze policies to effect
better records control;
2. identify and analyze problem areas in the creation, maintenance,
and disposition of the records of UPLB;
3. establish a uniform classification and filing system for all the
records of UPLB, regardless of their present location;
4. adopt standard operation procedures for the classification, filing,
and servicing of records;
5. plan and establish schedules for the retention and disposal of
records; and,
6. initiate training courses for records personnel in the various
aspects of records management. (UPLB-RMO Manual, 2004, p.
4)
The office currently has four sections, namely, the current records section
with five staff; the non-current records section with six staff; the communication
service section with three staff members; and the bindery service section with three
staff. All these sections are supervised by the Chief and Records Officer V of the
office. The organizational chart is presented in Appendix II.
According to the respondents from UPLB-RMO, their records are from the
different units of UPLB. The office has a number of records centers but still it needs
more space for its growing records. Considering the both UPLB-OC and UPLB-
56
RMO have records storage issues, it would be beneficial if the campus would
consider only one central records storage for the entire campus. UPLB-RMO should
be empowered to fully perform its mandates set by the UP BOR.
Office of the Chancellor UP Manila (UPM-OC)
The Office of the Chancellor of UP Manila has 11 administrative staff
members including one contractual staff (see Appendix II for the organization chart).
An administrative assistant is in-charge of records management as supervised by the
Chief Administrative Officer. The records personnel shared that he just assumed the
recordkeeping task of the office since last year. Unfortunately, he also shared that he
is yet to attend any basic training. He pointed out that his lack of knowledge and
skills aggravate the current records issues present in their campus.
The former records officer of the office is now assigned to the Central Point
of Contact (CPC) unit of UP Manila who is in-charge of all the records received and
released by the campus. The CPC Project of UP Manila is further discussed in the
succeeding sections.
Like the other UP units, UPM-OC has a records storage area, and also faces
same inadequate records storage.
sections.
Office of the Chancellor UP Visayas (UPV-OC)
The Office of the Chancellor of UP Visayas currently has six support staff
members.
Three of these staff are permanent, and three are contractuals (see
Appendix II). One of the permanent staff (Administrative Aide VI) is in-charge of
57
the recordkeeping tasks of the office. The issue on inadequate records storage space
is also experienced by the office in managing its records.
Office of the Chancellor UP Open University (UPOU-OC)
The head office of UPOU, the Office of the Chancellor, is manned by two
permanent and one contractual staff members. Although considered as a virtual
university, majority of the records of the campus are still in paper form.
The
58
respondents from UP Cebu shared that she look forward to attend basic records
management trainings.
59
Over the years, the University has established only two records offices, OSU
and UPLB-RMO. The absence of a central records office for the entire UP System
necessitated each campus to manage its records through their own ways.
Additionally, almost all units are experiencing inadequate records storage which is a
lingering records problem in UP since 1970s, as pointed out by a number of studies.
Given the current status of the records management in UP, it is very important that
the records personnel are well-experienced and well-trained. But this is not the case
in UP.
subject units. Table 7 shows the common administrative records that the offices
manage.
60
Table 7
Types of Records Managed by UP
UPOU
/
/
/
x
x
x
/
/
/
x
x
x
/
/
/
x
x
/
/
/
/
/
/
/
/
/
/
x
/
/
/
/
/
/
x
x
x
x
x
x
x
x
x
x
x
x
/
x
x
x
x
x
x
x
UP
Cebu
UPV
UPB
UPM
UP
Min
UPLB
UPLB
RMO
UPD
Memoranda
Administrative
Orders
Correspondence
Files
Policy and
Procedure Manuals
Minutes of the
Meeting
Financial Reports
Annual Reports
Speeches
Organizational
Charts/Plantilla
Government
Publications
Audio-visual
Materials
Photographs
Records of
Research Activities
Informational
Materials on UP
201 Files
Case Files
Legal Files
(e.g. MOA, etc.)
OSU
Types of Records
OP
Units
61
the decision making of the offices. Of all the subject units, OP is managing almost
all types of records listed in Table 7. This is likely the case as OP is expected to deal
not only with UP-related records but also with other government records, being the
head office of the University.
The records managed by the subject units are the vital records of the
University as it includes policy records. This is also the reason why the researcher
chose to study the top-level offices of the University, to highlight how the University
maintain its vital records. The section on the actual records management practices of
said units reveals the status of these vital records of the University.
Table 8
Formats of Records Managed by UP (in percent)
Units
OP
OSU
UPD
UPLB
UPLB RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
Paper
70
50
90
100
100
100
100
80
80
99
98
Electronic
30
50
10
20
20
1
2
Although majority of the records of UP are in paper format, more than half of
the subject units are now dealing with electronic records as presented in Table 8.
The main respondents shared that the computers and scanner rolled out throughout
62
the UP campuses by the eUP Team helped them in starting up the electronic records
management in their offices.
Most of respondents shared that inactive records are their priority in
digitization.
Respondent from OSU shared that the UP Gazette and BOR decisions are now made
available in electronic format for ease of record searching as well as to save on
records storage space. For OP, the respondent shared that her office started to
digitize the issuances of the UP Presidents which are the primary records created by
the office. The digitization of OP now expanded to cover inactive records as well as
selected active records using the EDMS program of the office.
One well-established digitization project is the project of the UPLB RMO
which is manned by 4 contractual staff members and supervised by the Chief
Records Officer of the office. The project is being funded by UPLB every year upon
submission of progress report and justification of project continuity. An in-depth
discussion on UPs electronic records is found in succeeding sections.
63
processes, monitoring and audit, training of the staff, archives management, and
electronic records are also discussed for more holistic analysis of the records
management in the University.
Records Creation/Capture
Records capture is defined as the process of determining that a record
should be made and kept (ISO 15489, 2001, p. 14). It is important to have a clear
guideline on what records to create and capture within the records system of an
organization. Control over records creation is also an important consideration for an
efficient records system (ISO 15489, 2001, p. 14). The 1981 committee report also
recommended a common guideline over control of records creation to regulate the
fast growing number of University records which mostly have duplicate or more
copies. Unfortunately UP, until now, has no clear guideline on records creation and
capture despite the recommendation of the committee.
The different UP offices manage to create their own system of control over
its records. The common control systems are listed in Table 9.
64
Table 9
Records Creation Control in UP
Units
OP
OSU
UPD
UPLB
UPLB
RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
Observance of
Directives Issued
on Records
Control
/
/
/
x
Uniform Titles/Codes
for Administrative
Issuances
Review of Outgoing
Communications
Prior to Release
/
/
/
/
/
/
/
/
x
x
x
x
x
x
/
/
/
/
/
/
/
/
/
/
/
/
Majority of the UP offices admitted that they are not observing any directives
on records control even with the existence of such directives. Only OP, OSU and
UPD-OC have confirmed their submission to some of the University directives as
shown in Table 9. Respondents from OP and OSU shared that in 2011, the Secretary
of the University issued two memoranda reiterating the use of A4 size paper and the
adoption of a uniform date format for UP communications (Memorandum No. OSU11-16 and Memorandum No. OSU-11-17).
throughout the UP System, calling the attention of all UP officials, faculty and staff
members. But most of the respondents dont seem to remember such directives. The
65
66
may be attributed to the absence of a guide in processing records that are captured
and created by the units.
By practice, the subject units are capturing all the records listed in the Table
7. These are records that originate from their office and records that serve as
reference materials for the decision making of the University officials.
The
importance of records capture is to establish the relationship between the record, the
creator and business context that originated it, to position the record and its
relationship within a records system, and to link it with other records (ISO 15489-1,
2001). Without the proper technique in records creation/capture, a record would
have just lost within the records system of an institution or would just have lost its
value.
As presented in Table 9, UPLB-RMO is the only office with no established
records capture and creation system. UPLB-RMO is expected to manage all records
sent to their office. These are the records captured in their system. The office is also
not expected to release any administrative issuance. Given this, it is anticipated that
the office need not establish such a system on control of records creation.
All of the offices have access to common records processors such as
photocopier machines, computers and scanners. At the moment, none of them has
plans to acquire highly technical machines for their records management.
These highlight the fact that despite the recommendation of the 1981
committee, the University still failed to craft a standard guide on the records creation
and capture. It may be inferred that the University may not find it important to craft
67
such guide as the records personnel are able to perform their task in spite of the
absence of a standard.
Records Registration
After the creation and capture of records into the records system, records
registration follows immediately. The primary purpose of records registration is to
provide evidence that a certain records has been created or captured in a records
system. Additionally, efficient records registration also facilitates retrieval (ISO
15489-1, 2001). In the University, top-level offices use one or more schemes in
registering the records. These schemes are presented in Table 10.
Table 10
Records Registration Systems in UP
Units
OP
OSU
UPD
UPLB
UPLB RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
Logbook
/
/
/
/
/
/
/
/
/
/
/
Computer-aided system
/
/
/
/
/
/
x
x
x
x
x
DTS
/
/
/
/
/
/
x
/
/
x
/
All subject units use logbooks in the registration of records. Moreover, the
University is now utilizing the use of information and communication technologies
(ICTs) in managing records. Aside from logbooks, most of the units use document
68
69
directive from the Chancellors and Dean and monitoring of strict compliance may
drive the records personnel to utilize the available records system in UP.
70
database with pre-defined form to regulate the elements captured for records
registration.
71
Units
OP
OSU
UPD
UPLB
UPLB
RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
Unique Identifier /
Control Number
Title / Short
Description
/
/
/
/
/
/
/
/
Date and
Time of
Receipt
/
/
/
/
x
x
/
/
x
x
/
/
/
/
/
/
/
x
/
/
/
x
/
/
/
/
/
/
Author, Sender,
or Recipient
/
/
/
/
72
units capture almost all possible elements in the registration of records. While UPMOC, UPV-OC, UPB-OC and UP Cebu are conservative in capturing records
description (see Table 11).
The University has a number of systems used in records registration. Almost
all of these systems are not documented. The use of a common records registration
system throughout the entire UP System may be easily formulated if only the current
systems used are formally recorded.
Records Classification
The next step after registration is for the records personnel to classify the
records according to the units classification scheme, if any. A guide on how to
classify the records can assure consistency of work and efficient time management in
performing the process.
73
appropriate retention periods and disposition actions for records (ISO 15489-1,
2001).
The University is able to establish its own classification scheme but it is
apparent that many units use a simple system of classification. Table 12 summarizes
the classification style of UP.
Table 12
Classification of UP Records
Units
By Types
or Forms
By
Subject
or Topic
By Office
or
Institution
By Date or
Chronology
By Numeric
or Code
Category
By
Geographic
Grouping
OP
OSU
UPD
UPLB
UPLB
RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
/
/
/
/
/
/
/
/
/
/
/
/
/
x
/
/
x
x
/
x
x
x
/
x
/
x
x
x
/
/
/
x
/
x
/
/
/
/
x
/
/
/
x
x
/
/
/
x
/
x
x
x
x
x
x
x
x
x
x
x
74
also prepares subject index for important records which serves as a record locator
(works like a library card catalogue). The indexes are written on 3x5 index cards
and kept in the subject index files. The records officers of UPLB-RMO also
determine a number of cross-references required for a specific record (see Figure 9).
Like UPLB-RMO, OSU and UPD-OC have specific area for records
classifiers and indexers. OSU has developed its own File Classification Guide which
is based on Functional Subject-Alphabetic Classification System. It also prepares
cross-referencing for each record. UPD-OC devised a comprehensive records master
file with cabinet location.
currently drafting their manual of operations. UP Mindanao has also constituted its
Records Management Team (RMT) which is tasked to propose a records
75
classification system for the use of the campus by July 2015. All the other offices
classify the records according to the established practice or knowledge of the records
personnel.
management tool.
Having no standard tool to classify records put UPs vital records in high
chances of getting lost. Of all the subject units, UPLB-RMO has the most advance
records classification system which UP may consider in its standardization of records
management processes.
Storage and Handling
Records storage of an institution must permit the useability, reliability,
authenticity and preservation of the records as long as the records are needed. Vital
records require higher quality storage facilities for its proper preservation (ISO
15489-1, 2001). This must be an important consideration of the subject units as they
handle the vital records of the University.
In the University, the most common practice in prepping up the records for
filing is the identification of the folder where the records belong or the classification
of records. After the records had been classified, they are usually filed in the
appropriate folders with proper label. These folders are kept and organized in steel
cabinets, wooden cabinets, shelves or racks, and boxes. Electronic storage devices
are now a famous storage facility in the University as it starts exploring the
management of electronic records.
76
The respondents shared that they sort and file their records according to the
established office classification scheme. Note that when the respondents were asked
if they have an existing filing manual, almost all of them answered none, except for
OSU, UPD-OC and UPLB-RMO. As stated in the previous section, classification
systems of the majority of UP units are oftentimes relying on the personal knowledge
of the records personnel. Respondents from UPLB-RMO shared that their filing
manual is part of their manual of operations. It serves as their guide to standardize
their filing operation.
Another issue on the handling of records in the University is the backlog in
filing.
personnel, they seldom find time to file their records. Some of the respondents
answered that they only file records when they have time or when the heads of units
are away. Most of the records personnel said that in the average, it would take them
weeks or months before they could focus on filing the records. This is one of the
many disadvantages of not having a fulltime records officer in an office, especially
in top-level offices. OSU, UPLB, and UPLB-RMO are the only units with no
backlogs in terms of records filing.
77
Table 13
Records Storage Facilities in UP
Units
OP
OSU
UPD
UPLB
UPLB RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
Steel
Cabinets
/
/
/
/
/
/
/
/
/
/
/
Wooden
Cabinets
x
x
/
x
/
x
/
x
x
x
x
Shelves /
Racks
/
/
/
x
/
x
/
x
/
/
x
Electronic
Storage Devices
/
/
/
x
/
x
x
/
/
x
/
Boxes
/
/
/
/
/
/
x
/
x
/
/
UPD-OC and UPLB-RMO have all types of storage facilities as seen in Table
13.
The storage facilities of said offices must have been the accumulation of
purchased records storage facilities over the years. UPLB-RMO has been doing
records management since its formal creation in 1987, while UPD-OC was the main
records unit of the campus since the reorganization of the campus. It is also apparent
that most of the offices do not have wooden cabinets anymore.
78
Table 14
Status of UP Records Storage
Units
OP
OSU
UPD
UPLB
UPLB RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
Has Adequate
Space
x
x
/
x
x
x
x
x
x
x
x
With Limited
Space
/
/
x
/
/
/
/
/
/
/
/
Many of the subject units mentioned that they already have limited records
storage (see Table 14). This is very alarming and may demand expansion of the
current records storage or the strict implementation of disposition to address the
issue. Notice that since 1981, as reported by a committee under OVPPF, UPSA units
have been suffering from inadequate records storage.
Only UPD-OC answered that it has enough records storage at present. The
researcher noted that UPD-OC had recently renovated their office, and that the new
office is designed for spacious records storage.
administration has an ongoing procurement for container vans which can augment
the limited storage areas of the UPSA units. Respondents from UPOU-OC and
UPLB-OC mentioned that there are plans to renovate their offices and bigger records
storage areas are part of the renovation plan.
79
additional records storage centers for the fast growing records of the UPLB campus.
Note that none of the respondents shared any effort to review their records for
implementation of disposition as a solution to the scarcity of records storage.
UPLB-OCs
records shelves
UPB-OCs steel cabinets with labels
UP Cebus
shelves for
active folders
UPLB-RMOs records boxes in wooden
shelves
80
Figure 10 shows the different records storage facilities and areas of selected
units in the University. Most of the records personnel describe their records storage
areas as bodega (storage room). This is because their records storage areas also
serves as storehouse for all other stuff and equipment of the office. This is not the
ideal setup for records storage as described by ISO 15489, especially for the vital
records which are in the custody of the subject units. All of the respondents agreed
to have a central records center for their non-active records. This may be the best
solution for the poor setup of records storage in the University.
As observed by the researcher, one reason for the scanty storage area for
records in the University is the non-implementation of records retention and
disposition schedule. The easiest solution may be the prohibition of filing of nonrecord materials. Filing of voluminous magazine, books, newspapers, pamphlets,
and the likes, may take up most of the space of the records storage. UPD-OC,
UPLB-OC, UPLB-RMO, UPMin-OC and UP Cebu said that they file such materials
in their offices. UPD-OC explained that the office set a period of time before
transferring to the library or proper disposition.
Because of the current problem on records storage, many of the subject units
start to explore the use of digital storage facilities. This is further given prominence
because of the implementation of the eUP Project.
As part of effective records management, the organization must conduct a
risk analysis on the records storage and handling options that are appropriate and
feasible for its records.
81
organized and prioritized response to disasters, a plan for continued regular business
operations despite disaster, and plans for recovery after disaster (ISO 15489:2,
2001). The findings of the study expose that none of the subject units has a disaster
recovery plan. At present, the units have no plans of putting up such measures to
protect the vital records of the University. Even units with well-established records
system fail to observe this important aspect of records management.
Access to Records
Formal guidelines should be devised to regulate the access to records. It is
very important that related regulatory environment or legislation be consulted in
crafting the guidelines on records access rights, conditions or restrictions as
ineffective guideline may jeopardize the institution (ISO 15489-1:2001). UP, again,
lacks on this aspect.
One important aspect in records access is the security system for
unauthorized access.
facilities of the units are in secured places. The cabinets and boxes are placed in the
innermost area of the offices to secure the records from any unauthorized access.
Units with storage areas for non-active records are locked and only the heads of units
and the records personnel have access inside the storage room. Figure 11 shows a
sample records access restriction in UP. However, the current setup of records
access in UP should be well-documented. The document should include plan for the
ideal records storage facility and area locations to ensure the security of records.
82
respondent opined that the assigned program administrator is not that competent to
address this current issue.
Despite the absence of a standard records access in UP, there is enough
security measures in place which can be studied and collated to form part of the
standard records management program for UP.
Use and Tracking
Records that are effectively registered in the records system can be easily
traced to identify outstanding action required, enable retrieval, prevent loss, monitor
83
the usage for system maintenance and security, and maintain an auditable trail of
records transaction, and identify the origin of the records in case system upgrade or
migration (ISO 15489-1:2001). In the University, the different units have formulated
its own tools in finding records. Table 15 summarizes the finding aids used by the
top-level offices in accessing their records.
Table 15
Finding Aids used by UP units
Index
Cards
Inventory
Compiled
Guides
Computeraided
Program
Knowledge
of the Files
OP
OSU
UPD
UPLB
UPLB
RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
x
x
/
x
/
x
/
/
/
/
Logbook,
DTS, ERMS
Logbook,
DTS, ERMS
DTS
DTS
DTS
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
/
x
x
x
x
/
/
/
/
/
/
/
/
Folder label
Units
Others
The common finding aid used by the subject units is the use of computer in
tracking records. The respondents considered the use of computer as the most
efficient way amongst all the listed tools.
reservations in using this tool such as DTS. Most of them admitted that because of
84
the lack of documentation, guide and proper training, their use of DTS is far beyond
perfect.
Another daunting fact is that most of the offices without reliable finding aids
are relying heavily on their knowledge of the records to find it. This practice may
cause several records problems like loss of records, and the inability to provide the
final version of an amended record, the latest version of an updated record, and other
relevant records on the given search topic.
The subject units, being the main records units of their respective campuses,
are frequently asked for records. This being said, the units have devised their own
system to manage this function. Table 16 provides a glimpse on the systems used by
the subject units in accommodating request for records. Table 17 shows the systems
used by UP in tracking active and on loan records.
Many of the respondents shared that in the past, they let other offices borrow
or loan the records. But because of the absence of a reliable system to track down
records, most of the time, they forget about the transaction and the records are never
returned to them. They learned their lesson and their current practice is to provide
the requestor a photocopy of the record and return the original to its storage. As seen
in Tables 16 and 17, only OSU, UPD-OC and UPLB-RMO have a system for
loaning of records. Their guides in handling request for records are detailed in their
manual of operation (OSUs and UPDs are yet for finalization). UPLB-RMOs
manual of operations covers charging out of records, charging in returned records,
refiling borrowed records, and following up borrowed records (see Figure 12).
85
Table 16
Accommodation of Records Request in UP
Borrower's
Slips
Receipt
Slips
OP
OSU
UPD
UPLB
UPLB
RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
/
x
/
x
x
x
x
x
x
x
x
x
x
x
x
x
Units
Others
Letter-request then provide photocopy or
scanned copy (e-file)
Letter-request then provide photocopy with
OSU stamp or certified true copy stamp
Letter-request
Provide photocopy
With established loaning system, use of chargeout card.
Provide photocopy
Logbook then provide photocopy
Logbook, recollection, provide photocopy
Logbook, provide photocopy
Provide photocopy
Logbook, provide photocopy
86
Table 17
Tracking System for Active and/or On Loan UP Records
OP
OSU
UPD
UPLB
UPLB
RMO
UPM
UPV
UPOU
UPMin
x
x
/
x
x
x
/
x
x
x
x
x
Computeraided
System
/
/
/
/
x
x
x
x
x
x
x
x
x
x
x
x
/
x
x
x
UPB
UPCebu
Recall
Slip
Units
Follow- Tickler
up Slip
Slip
Others
DTS, EDMS, Logbook
DTS, EDMS, Logbook
DTS
DTS
File control slip
DTS
Logbook
Logbook, notebook notes
Logbook
When someone followed-up;
notes on the table; logbook,
reminder from the Chancellor
Logbook
The respondents
mentioned that release of confidential record is upon the approval of the head of unit
through the letter-request sent by the requesting party.
Like other records management processes, most UP units have no
documentation on the use and tracking of documents. The records personnel are
using the practice they deem fit and appropriate for the record. Most of the offices
also utilize their DTS in action-tracking and location-tracking of records.
87
Implementation of Disposition
Retention and disposition is an important records management process to
keep the institution away from the different records-related issues. One way to
initiate the implementation of records retention and disposition schedule is the
regular conduct of records inventory and appraisal. This gives the records personnel
overview of the current holdings of the office and the status of each record. When
asked about records inventory and appraisal, many of the respondents said that they
have no regular schedule. Most of the units are not aware of the records inventory
and appraisal form created and recommended by NAP.
OSU, UPD-OC and UPLB-RMO shared that they inventory records annually.
Respondents from OP and UPM-OC mentioned that they inventory records without
regular schedule, it is usually done as the need arises. Respondent from UP Baguio
shared that when she came aboard in 1996, she attempted to inventory records to
familiarize herself with the records of the office. She was able to come up with a list
of record folders. She added that she plans to conduct the same procedure when her
schedule permits her.
It is also very important for UP to have its own records retention and
88
disposition schedule for its unique records, which should be patterned after NAPs
GRDS. This schedule should be endorsed to NAP for approval.
Table 18 reflects the reasons for records retention of the 11 subject units. It
shows that all of the respondents keep records that concern the past and present
decisions of the institution, to make it available as part of the institutional memory,
and to provide information for decisions and activities in the present and in the
future. Except for UPV, all units also keep records as evidence of the past and
present activities to meet accountability obligations. Also noticeable is that most
units do not implement RDS to dispose valueless records as early as possible. It was
earlier mentioned that the respondents are not considering records disposition as an
important solution to the many records issues that they are experiencing.
The findings on the implementation of records and disposition of records in
the University may sound alarming but the records personnel are able to work around
this poor practice. The most common solution in the University is by refraining from
disposing of any record, as shown in Table 18. This is a common practice in the
young campuses like UPOU-OC, UPMin-OC, UPB-OC and UP Cebu. The records
personnel from said campuses admitted their hesitation to dispose any record fearing
they might just dispose vital records. Valueless records are not clearly defined
making it harder for records personnel to decide on the retention and disposition. In
exceptional cases, record destruction is conducted upon instruction from the head of
unit.
89
Table 18
Purposes of Records Retention and Disposition Schedule in UP
UPD
UPLB
UPM
UPV
UPOU
UP Min
UPB
UP Cebu
OSU
OP
Purposes of RDS in UP
UPLB RMO
Units
Respondent from OSU shared that because of the success of their eOSU
Project, the office is now ready to dispose records by transferring non-active records
to the University Archives and Records Depository (UARD) of the UP Main Library
(see Figure 13). With consent from the Secretary of the University, the records
90
officer is now scheduling transfer of several labelled boxes to the library. Records
with age 10 years and up, and are converted to e-records are now being processed for
transfer using their records transfer form.
digitized and filed to the ERMS for easy searching. However, the respondent shared
that this process is not discussed in detail in their draft manual of operations.
91
92
and policy which are for finalization and approval of the heads of units. These
documents describe some selected processes and procedures on records
management.
document every records management processes. This should also be the aim of UP,
to religiously document every endeavor on records management to build up the
necessary foundation on its standardization.
It was mentioned in Chapter II that several committees in 1970s and 1980s
had studied the records management in the University. Recommendations were also
formulated by said committees. However, the researcher was only able to obtain the
copy of the 1981 committee report. This is one of the unfortunate cases of records
loss in the University.
recommendations of the committees, no vital record would have been lost and will
rather be preserved for future references. Those references are good starting point
for researches like this paper.
Use of Records Management Tools
A well-established records management practice needs support through the
use of appropriate records management tools. Some of the respondents from OP,
UPOU, UPMin, UP Baguio and UP Cebu admitted that though they have on file the
listed records management tools in Table 19, they hardly consult it in their daily
recordkeeping tasks.
93
Table 19
Records Management Tools Used by UP
Units
OP
OSU
UPD
UPLB
UPLB-RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
None
File classification scheme/guide, indexing guide, records inventory
and appraisal guide, NAP GRDS, agency RDS, requisition and
charge-out procedure in issuing records, Manual of Operations and
Procedures, various forms to document daily operations
None
None
File classification scheme/guide
PRMA controlled vocabulary, PRMA RDS, PRMA records
classification
Outdated master list of files and folders
File classification scheme/guide, NAP GRDS
finalized. Ideally, every UP unit must have a manual on how to deal with records,
but a common program or manual will surely help the entire University in dealing
with records. Documenting the records management practices of the University will
ensure continued business operations in spite of changes in the institution.
It was initially planned to get copies of all the records management tools used
by the UP units, but because most of these documents are yet for finalization, there
94
were records personnel who hesitated the release of a copy. But the respondents
allowed the researcher to read on the draft manual and tools.
Monitoring and Auditing
ISO 15489 prescribed the conduct of monitoring and auditing of the
management of records to ensure compliance with the organizations established
standards, ensure that records will be accepted as evidence in a court of law, if
required, and improve the organizations performance. RA 9470 also suggested
every government unit to have a records management improvement committee, an
advisory body on the development of records management. NAP is also mandated to
conduct periodic inspection of records holdings of government offices every five
years.
University, they have not received any related request from NAP. NAP should
endeavor to perform its mandates so as to set as the role model in standardizing of
records management.
The researcher found out that none of the subject units has an established
monitoring and auditing program within their campuses. Hence, none has conducted
a recent audit nor devised an audit tool. But it was highlighted in the earlier sections
of this chapter that UP Mindanao constituted a Records Management Team 20142015 which is tasked to:
1. Recommend policies and guidelines for the proper classification,
maintenance, and disposition of all records in the University;
2. Establish a University Records Management and archiving
System;
3. Recommend the best possible ways to store and preserve
University records; and,
95
96
97
9470, p. 10). Through the years, NAP has been offering different training programs
for all records personnel in the Philippines. They have been diligently disseminating
these training programs to all concerned records personnel.
A number of records
98
Though NAP and other agencies have been active partners of the University
in developing the learning and skills of the staff, a program coordinator for UP can
help ensure that appropriate training programs are available to all personnel of UP
with regular schedule.
needs of UP personnel to NAP and other similar agencies and come up with a regular
training schedule. Budgetary allocation for this program may also be managed
effectively because of the dedication and expertise of the assigned coordinator.
Electronic Records in UP
With the implementation of eUP, various units of UP are obliged to learn
how to manage electronic records. Many of the UP offices are now starting to
digitize their records not only because of the office requirement but also to solve
their need for more physical records storage area. However, the implementation of
electronic records management must be grounded in the basic principles of the
existing records management program of an institution. Since UP has no established
program yet, the management of electronic records is a very crucial endeavor.
Table 20 tabulates the mechanisms used by the subject units in managing
electronic records. Five out of the eleven subject units (UPLB-OC, UPM-OC, UPVOC, UPB-OC and UP Cebu) are still not ready to manage electronic records.
99
Table 20
Electronic Records Management in UP
Units
OP
OSU
UPD
UPLB
UPLB
RMO
UPM
UPV
UPOU
UPMin
UPB
UPCebu
/
/
/
x
Hardware and
Software
Requirements
/
/
/
x
x
x
/
/
x
x
x
x
/
/
x
x
x
x
/
/
x
x
x
x
x
/
x
x
x
x
x
x
x
x
Digital
Storage
Backup
Systems
Maintenance
Process
Manpower
/
/
/
x
/
/
/
x
x
x
x
x
100
101
generation and search functions are enabled through the software called the
Automated Document Management System. According to respondents from UPLBRMO, the project is only available via intranet. UPLB has no plans yet for the full
implementation of the project. This serves as a good benchmark and should be
reviewed if the University plans to standardize its electronic records management.
OP and OSU are now utilizing an electronic document management system
(EDMS) called Laserfiche to manage its electronic records. Both offices have no
formal documentation of the project, but OP has crafted draft guide.
Back-up
systems and maintenance are in place but lack maturity. Maintenance is through the
eUP Team but the respondents believe that the team needs expert training to
maximize the full potential of Laserfiche. Manpower is yet another issue as a
dedicated staff member to focus on this initiative is a necessity. At present, the
current records personnel of the subject units are also the ones in-charge of the
project.
Aside from the Laserfiche Project, OSU also launched its eOSU Project (see
Figure 16). OSU is now maintaining a website where the office uploads the scanned
copy of the BOR decisions or the UP Gazette. Records from 1970s are available for
download in the website of OSU. A search function is also available in the website.
The records are uploaded and downloaded in searchable PDF formats.
102
103
Some UP units
perform minor archival tasks, like in UPD-OC. UPD-OC respondent shared that he
does preservation methods for some archival records but admits that he prefers
sending it to the librarians for expert handling.
Reinforcing the 1974 directive will ensure a standard management of archival
records in UP. This is very important to preserve the identity of UP as embodied by
the records.
UPs Compliance with the General Provisions of ISO 15489 and RA 9470
The self-audit tool crafted by the researcher based on the best practices stated
in ISO 15489 and RA 9470 enables the assessment of the compliance of the
University with the international and national records management standards. The
self-audit tool was applied to every unit. A general summary was also drawn for
better appreciation of the result (see Appendix I).
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105
1. design and implementation a records system to carry out and support the
records management processes of the institution;
2. existence of rules in the proper turnover of records to successor/NAP;
3. separation of records for disposal from those for further retention as
suggested by NAP;
4. existence of a disaster recovery plan for records;
5. conduct of a self-audit / review of records management practices;
6. establishment of a preservation program for archival records; and,
7. provision for the regular review of training needs of personnel in-charge
of records.
It is very unfortunate that even the basic and most important best practices on
records management are not performed by the records personnel of UPs top-level
offices. This mirrors the current skills and competencies of the records personnel of
the University which are way below the accepted standards on records management.
Detailed result of the self-audit tool is presented in Appendix I-A.
As presented and discussed in the earlier sections, the researcher surmises
that the common reason for non-compliance of the records personnel is mainly
because of their unfamiliarity with the best practices prescribed by the ISO 15489
and RA 9470. This fact is also shown in the self-audit tool as the University got 0%
for observance and familiarity with any regulatory environment related to records
management. It would be best if UP administration could prioritize the training of
106
the records personnel before any grand effort to improve and standardize the
practice.
107
Table 21
Perceived Records Issues Of Heads of Units
Units
OP
OSU
UPD
UPLB
UPM
UPV
UPOU
UPMin
UPB
UP Cebu
Notice that two out of four satisfied heads have something to share about
their perceived records issues. This may suggest that the heads maybe satisfied on
how their offices manage records but still notice some inevitable records issues
caused by the current state of records management in the University, like the issue
raised by the Chancellor of UP Diliman regarding the difficulty in prioritization of
records. He raised that almost all records received by his office are marked urgent.
108
This again highlights the problems in the records system of the University,
particularly in routing of records.
The main respondents were asked to rate the following perceived records
issues in storage and retrieval of records, perceived causes of the issues, and the
current status of UPs records management. Scores should be from 5 to 1 (5
strongly agree, 4 agree, 3 neutral, 2 disagree, 1 strongly disagree). The
results are surprising as the means of the results are generally at the rate of 3 which
means that the respondents are more likely to be neutral in all the listed issues and
situations.
records issues on storage and retrieval are currently present in their offices (see Table
22). Six out of the 11 units answered that because old records are not destroyed at
the right time, records issues on storage and retrieval are aggravated. This is another
interesting finding as it was earlier mentioned that records disposition and retention
is not a considered a solution on the inadequate records storage. But yet, majority of
the records personnel admitted that improper RDS is one of the causes of records
issues.
109
Table 22
Common Difficulties Experienced in Storage and Retrieval of Records
Mean
UP Cebu
UPB
UP Min
UPOU
UPV
UPM
UPLB RMO
UPLB
UPD
OP
OSU
Units
5 1 3 5 2 4 3 1 4
3 4 3
5 1 1 3 1 4 3 3 5
5 5 3
3 3 4 1 4 4 5 3 5
5 1 3
4 1 3 4 2 4 3 1 5
5 2 3
5 1 1 4 1 4 3 1 4
4 1 2 3 2 4 3 2 5
1 3 3
4 3
110
records retrieval skills - delay in providing requested records, and records provided
sometimes dont meet their stated criteria/requirements. These observations must be
considered and addressed by the University as these reflect the services provided by
UP to their stakeholders.
Table 23
Perceived Causes of Records Problems in UP
Mean
UP Cebu
UPB
UP Min
UPOU
UPV
UPM
UPLB RMO
UPD
OSU
OP
UPLB
Units
2 3 4 3 1 2 3 1 3 1 1
4 3 3 4 1 4 3 1 3 1 3
4 5 2 1 1 4 3 1 4 3 5
4 4 3 1 1 4 3 1 5 3 4
4 4 3 1 2 3 3 1 5 2 2
4 4 3 2 1 3 3 1 4 2 3
Table 24 shows that majority of the units agreed that the administrative and
legal regulations of UP are enough to support the smooth business processes of the
University. But still, a few respondents signified their confirmation that records
management in the University is poorly implemented. Note that four units agreed
that the current records management of UP is running smoothly and six units
signified their impartiality.
111
Table 24
Perceived Status of Records Management in UP
Mean
UPM
UPV
UPOU
UP Min
UPB
UP Cebu
UPLB RMO
UPD
UPLB
OP
OSU
Units
2 5
2 5 1 2 3 5 1 4 4 3
3 5
3 3 1 2 3 5 3 4 5 3
3 5
3 1 3 2 3 5 2 4 3 3
3 5
2 3 5 5 3 5 3 2 4 4
3 5
1 2 5 4 3 5 3 3 5 3
3 2 4 3 3 4 3 3 4
112
The following are the proposed solutions of selected records clients of the
University to address the current records issues:
Records staff with proper training will surely help in the standardization
of records management practices.
records
management
must
be
studied
before
full
113
the tracking system of the UP units and implemented eUP to have a common
platform for information management of student academic information, human
resources information, financial, supplies procurement and campus management, and
executive information.
initiative. In line with these efforts, it is also timely to plan about the standardization
of records management in UP.
A way to address the low compliance rating and the many records issues is
through the standardization of the records management practices in the University.
This effort should be done collectively and should also consider inputs from all the
stakeholders of the University for a comprehensive output. The standardization
effort should capture not only the best practices prescribed by the regulatory
environment but also the established best practices of the units of the University,
hence collaboration is very important.
At present, minor efforts to regulate some recordkeeping functions are in
place. UP Manilas Central Contact Point (CPC) Project in 2012 helps the campus in
addressing issues on misrouted and missing records.
receiving and releasing function of the entire campus. This project is UP Manilas
initial step in the major standardization of records management. According to UPMOCs respondents, there is a pending plan for a standard program for its records. UP
Mindanao also took preliminary steps to initiate the standardization effort.
recently constituted a Records Management Team (RMT) in 2014.
It
114
records personnel, the implementers, should also be a consideration and their full
support and motivation should be solicited.
115
the
standardization
and
may ensure
greater
chances
of
success.
CHAPTER V
SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
Summary
The results of the data gathering showed that UPs records management
practices are far beyond the best practices prescribed by ISO 15489 and RA 9470.
The Universitys overall compliance rate is just 13% as measured by the self-audit
tool. The high rate of non-compliance (63%) calls for UP to study and adopt the best
practices prescribed by the two regulations.
117
compliance rating of 73% for the allocation of storage for non-current record. The
University got 64% compliance rating for the recent attendance of its records
personnel at training programs. But despite high ratings on these practices UP still
needs to address a number of issues on these practices. Unfortunately, UP got 0% to
less than 50% compliance ratings for a number of entries in the self-audit tool.
Non-compliance of the University may be attributed to the non-familiarity of
records personnel with any regulations on records management, particularly the ISO
15489 and RA 9470. Although a number of the respondents said that they are aware
of said regulations, its provisions are still not implemented in the campus as
compliance is not a major concern of UP. Also, most records personnel are not
aware of the punishments under the law for records-related offenses.
118
The
Office of the Secretary of the University and of the Board of Regents (OSU) was
created through the Charter of UP (RA 9500). The second one is the UPLB-RMO.
Additionally, only 2 out of 17 records personnel are holding records officer
positions. Except for respondents from OSU, UPD-OC, and UPLB-RMO, all the
other respondents perform records management tasks in addition to their regular
office workload.
The University has no prescribed program and policy in managing its
records. It has yet to design and implement a records system to carry out and support
its records management processes. Because of the absence of a standard program
and policy, units like OSU, UPD-OC and UPLB-RMO have crafted their own
manual and policy for their daily operations.
necessary in crafting a comprehensive program and policy for UP. Other UP units
have no proper documentation of their procedures, rules, and practices in managing
their records thus relying heavily on their experiences and knowledge about the
records of the office.
On UPs Records Management Practices and Tools
Majority of the records managed by the subject units are considered vital
records.
119
It was observed that some units have similar practices in managing its
records, particularly in controlling the creation of records. One evident example is
the use a letter-number code for the issuances of the heads of units. In records
registration, all subject units use logbooks and/or DTS. These systems are also
utilized to track and retrieve records. Two units are now using electronic document
management system (EDMS) which is a step up system compared to logbooks and
DTS.
Only 3 out of the eleven subject units (OSU, UPD-OC, and UPLB-RMO)
have file classification guides in place. Most of the respondents depend on their
listing of record folders or knowledge of the records which they have filed.
Almost all units, except for UPD-OC, expressed their records storage
problems. The steel cabinets, the common records storage facility in all units, are
almost full. Respondents are now using boxes placed on top of their desks/cabinets
to accommodate the fast growing numbers of records. A number of respondents said
that their records storage areas are not only for records but for other office stuff, they
used the term bodega to describe their records storage areas. Only the respondent
from UPD-OC said that he has no issues on records storage as it was recently
renovated its office and a spacious records storage area was well-considered. To
resolve their records storage issues, UPLB-OC, UPLB-RMO and UPOU-OC
expressed their plan to renovate and add more records storage areas in their
respective offices.
120
Except for OSU and UPLB-RMO, all other UP units have no established
records loaning system. Photocopies are given, instead of the original records, to
prevent records loss. The well-established UPLB-RMOs loaning system is clearly
stated in its manual of operations.
Despite the inadequate records storage in UP, it has not transferred any of its
record holdings to NAP or any government agency and has no plan of transferring its
records yet. By practice, most of the units transfer their archival records to their
respective libraries for proper handling. This is done through their self-generated
transfer list form. The scheduled records inventory and appraisal every year, as
prescribed by ISO 15489 and RA 9470, is strictly observed by only three units OSU, UPD-OC and UPLB-RMO.
identify valueless records for disposal and transfer to the library. For other units, this
procedure is conducted only during free-time or as the need arises. Only UPLBRMO has an agency records retention and disposition schedule which is according to
NAPs GRDS. Two other offices, OSU and UPD-OC, are implementing the GRDS
of NAP. Some records personnel are aware of NAPs GRDS but they have yet to
dispose any record, particularly the young campuses like UPOU, UP Mindanao, UP
Baguio and UP Cebu. Again, these practices are not properly documented and the
units have no clear rules and procedures in conducting such transaction.
It was also revealed that UP has no disaster recovery plan for its records.
Even though the record holdings of the top-level offices are considered vital, the
administration fails to secure the preservation of these records.
Procedures on
121
preservation and restoration of records are also not available for archival records as
the respondents transfer the responsibility to the librarians. This may also be the
major reason why a number of vital records are lost in UPs records system like the
highlighted untraceable studies on the records management in UP.
Records management tools are present in almost all subject units except for
UPLB-OC, UPM-OC and UPV-OC.
records personnel still fail to consult it for a standard handling of records. Their
personal experience and knowledge on recordkeeping are mostly used in dealing
with records.
UP has yet to develop a training program for its records personnel. Some
records personnel shared that they have not attended training, even the basic ones. It
was proposed that UP should develop a training program for its records personnel,
and to include the administrators and other employees in the program. A training
program coordinator should also be appointed to monitor the administration of the
program in all UP units.
Some units are now managing electronic records. OP and OSU now use
Laserfiche as their EDMS program. Hardware requirement, back-up system and
maintenance are available but the offices are yet to finalize a manual on the
management of electronic records using Laserfiche. There are also discussions on
the possible adoption of Laserfiche into the eUP Project. UPD-OC and UPLB-RMO
use their self-acquired software to manage their electronic records. Among the four
122
123
respondents agreed that the inefficiency of records management and records retrieval
systems are their perceived causes of records issues in their offices.
All the five selected records clients of the University answered that they are
somehow satisfied with UPs records management but highlighted some records
issues like hostile records managers/staff, absence of a standard practice, poor
records retrieval skills, and provision of inappropriate records. Records clients also
gave recommendations to address the current records issues in the University.
On Standardization of UP Records Management
All the 32 respondents said yes to the standardization of records management
in UP. Only two heads of units said that they are not ready to commit any financial
support to this standardization effort. It was highlighted that the President of the
University is willing to provide financial support, regardless of amount, for this
endeavor.
The study also discussed some minor efforts of the different units of UP to
temporary address the absence of a common records management program in the
University. However, the readiness of the UP stakeholders and the reconciliation of
diverse records management practices are some of the hurdles in the standardization
of records management in the University.
Conclusions
Given the findings listed above, the researcher concludes that there are
indeed problems in the current recordkeeping practices of the University and
124
continuous neglect will put its vital records in peril. The study revealed that UPs
records management is below the standards prescribed by ISO 15489 and RA 9470,
with only 13% compliance rating. This alarming result shows that in spite of the
findings presented by earlier studies, the University still fails to pursue the proposed
recommendations.
The study also highlighted the practices of the University in the different
records management processes. It is presumed that the University often discount the
importance of its records and its effective management. The absence of a central
records office, standard records management program and tools, training program for
records personnel, and collective and sustainable effort to standardize the
management of UP records are some of the bases for such assumption. The diverse
practices throughout the University is attributed to UPs inability to document the
established practice. The continued negligence of the experts recommendations,
like the reports of the committees that studied the recordkeeping practices in UP, is
also a strong basis. It was even revealed that a number of archival records are lost in
the records system of the University. The problems cited in the 1980s are still
haunting the University up to this present time.
It was also revealed that the compliance with ISO 15489 and RA 9470 is not
a major concern of the University. Submission to these regulations is one best way
to standardize the handling of UP records.
personnel are unaware about the provisions of the two regulations and the benefits of
125
a sound records management program. These are the main reasons for the high noncompliance rating of the University with the best practices on records management.
A number of records issues were raised and discussed in the study. It is
recommended to standardize the program, to empower the records personnel, and to
craft common records management tools to resolve the cited issues. These issues
will never be resolved by deferring the identified solutions.
The continued
negligence of these issues will jeopardize not only the vital records but the institution
as well. Appropriate approach and action should be undertaken as soon as possible.
A number of efforts to study and regulate some of UPs records management
processes were highlighted in the study, but the efforts lack pursuance of
recommendations. Strict compliance is also not monitored. Budget wise, with the
commitment of the current administration, the University is ready to spin off its
standardization effort.
Recommendations
As pointed out in the major findings and conclusions of the study, the
researcher recommends the following steps:
126
127
record center for all in-active records of all UP units. While the plan for additional
128
management process, and record type would greatly help UP in building the
necessary documentation it will need to initiate the standardization effort.
UPs has accumulated voluminous vital records over the years.
records embody the memories of UP.
These
REFERENCES
Unpublished Works:
Aquino, M. (1984). Records management practices and archives administration at
the Mindanao State University : a survey with a plan for the establishment of
a university archives and records center. Unpublished M.L.S. special
problem, University of the Philippines Diliman, Institute of Library Science.
Buenrostro, I.S. (2010). Preserving the postwar archives heritage of the Cities of
Bulacan. Unpublished M.L.I.S. thesis, University of the Philippines Diliman,
School of Library and Information Studies.
Ching, M.C.S. (2003). Records retention and disposition practices of the University
of the Philippines Diliman Health Service. Unpublished B.L.I.S.
undergraduate thesis, University of the Philippines Diliman, Institute of
Library and Information Science.
Golfo, M. (2010). Towards a standard archives and records management system for
government corporation and financial institutions in Metro Manila.
Unpublished M.L.I.S. special problem, University of the Philippines Diliman,
School of Library and Information Studies.
Granda, Y. (1981). A Survey of records management practices in selected colleges
and universities in Quezon City and Manila. Unpublished M.L.S. special
problem, University of the Philippines Diliman, Institute of Library Science.
Hortillo, F. (1990). A Proposal for the establishment of a university archives and
records center for the University of the Philippines in the Visayas.
Unpublished M.L.S. special problem, University of the Philippines Diliman,
Institute of Library Science.
Juanson, V.S.C. (2012). A Study of the compliance of selected barangays in Quezon
City to relevant laws and regulations on archives and records management.
Unpublished B.L.I.S. undergraduate thesis, University of the Philippines
Diliman, School of Library and Information Studies.
Loyola, C.L. (2001). Toward a common computer-based document tracking system
in U.P.Diliman. Unpublished M.L.S. special problem, University of the
Philippines Diliman, Institute of Library Science.
130
131
132
Electronic Sources:
AustLII. (2010). New South Wales Consolidated Acts. In State Records Act 1998.
Retrieved on 24 August 2012, from
http://www.austlii.edu.au/au/legis/nsw/consol_act/sra1998156/s3.html#recor
d
Business Dictionary.com. Retrieved on 3 January 2015 from
http://www.businessdictionary.com/
eUP Project. Retrieved on 15 January 2015 from http://e.up.edu.ph/
ISO 15489-1. (2001). Information and Documentation Records Management Part
1: General. Retrieved on15 December 2014 from
http://www.taoiseach.gov.ie/attached_files/Pdf%20files/30%20ISO.154891%20-%20IRISH%20VERSION.pdf
133
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015,
from http://www.up.edu.ph/wpcontent/uploads/2013/04/UP_StatBook_2013.pdf
University of the Philippines. (2014). Document Tracking System User
Guide/Manual. Retrieved on 5 May 2015 from
http://dts.up.edu.ph/media/dts_user_guide.pdf
The U.S. National Archives and Records Administration. (2001). Records Managers.
In Frequently Asked Questions about Records Management in General.
Retrieved on 24 August 2012, from http://www.archives.gov/recordsmgmt/faqs/general.html#whatrm
Unit : UP System
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470. For detailed desciption, please refer to per unit self-audit sheet.
Legend: C - Compliant, P - Partial compliance, N - non-compliant
5
6
UP
Cebu
0%
27%
73%
9%
36%
55%
18%
27%
55%
18%
9%
73%
0%
9%
91%
0%
27%
73%
0%
27%
73%
9%
27%
64%
9%
18%
73%
0%
9%
UPD
UPLB
UPB
OSU
UP
Min
UPLB
UPM
RMO
OP
Average
Average
Average
Partial
NonCompliance
Compliance Compliance
0% 100%
73%
18%
Appendix I-A
UPV UPOU
UP
Min
UPB
UP
Cebu
9%
64%
27%
100%
0%
0%
0%
91%
9%
0%
27%
73%
9%
82%
9%
18%
45%
36%
9%
0%
91%
No
0%
9%
82%
73%
27%
0%
0%
27%
73%
No
0%
18%
73%
36%
64%
0%
0%
18%
82%
18%
73%
9%
18%
82%
0%
18%
18%
64%
0%
0% 100%
9%
0%
OSU
UPD
UPLB
Has storage for non-current record integrated with the overall records
20 management program
Established an Agency Storage / Mini Archives for non-current records
21 preparatory their transfer to NAP
Has set standards and criteria to maximize filing equipment and floor
22 space
23
24
25
26
27
28
UPLB
UPM
RMO
OP
135
UPV UPOU
Average
Average
Average
Partial
NonCompliance
Compliance Compliance
91%
35
36
37
38
39
40
41
42
43
44
UP
Min
UPB
UP
Cebu
9%
0%
27%
0%
73%
9%
9%
82%
9%
0%
91%
0%
0% 100%
27%
0%
73%
18%
9%
73%
0%
9%
91%
0%
0% 100%
OSU
UPD
UPLB
UPLB
UPM
RMO
OP
N
P
Y
P
Y
N
P
Y
P
Y
N
P
Y
P
Y
UPV UPOU
N
N
N
N
N
P
Y
Y
N
N
N
N
N
N
N
N
Note:
Records managers may opt to focus on items with partial compliance to meet the lacking requirements for eventual compliance.
136
N
N
P
N
N
N
N
N
Overall rating:
Average
Average
Average
Partial
NonCompliance
Compliance Compliance
N
N
N
N
N
N
N
N
0%
0%
36%
9%
64%
0%
0%
13%
18%
73%
0% 100%
0% 100%
36% 64%
9% 55%
27% 64%
64%
36%
0%
36%
24%
63%
0% 100%
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Evidence
No
No
Partial
Remarks
No
No
137
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
Partial
No
No
No
Partial
138
Compliance
Yes/No/
Partial
Yes
Partial
Evidence
The OP staff in-charge of the receiving/releasing area OP also uses UP DTS and EDMS (Laserfiche) in
maintains a logbook for all records of OP.
records capture and registration.
There is an established system but some areas need to
be documented. All issuances of the President are
controlled through the use of letter-number codes
listed in labelled folders. These folders are compiled
every year. The senior executive assistant, Special
Assistant to the President and the President review all Review and document the process.
outgoing communications prior to release.
Remarks
No
Partial
Partial
No
Compliance
Yes/No/
Partial
Partial
No
No
Partial
25
No
Partial
Partial
Remarks
storage. Steel cabinets and shelves are placed in
available spaces, sometimes in awkward areas. To
address the scanty records storage area of the office,
OP started its digitization program in 2012 through
the use of the Laserfiche program.
No
22
Evidence
140
28
Compliance
Yes/No/
Partial
No
No
No
30
No
32
33
34
35
36
37
38
39
Remarks
Many offices are aware of the EDMS program of OP.
Hence, most of UP units request copies of records to
be sent via email. OP should establish rules on
sharing of electronic records to safeguard the records
as well as the records personnel of OP.
29
31
Evidence
No
No
No
No
No
No
No
No
No
Compliance
Yes/No/
Partial
No
Partial
Yes
Partial
Partial
Yes
46
No
Yes
No
Partial
Evidence
3
30
13
Remarks
The office has no program for this.
Documenting this effort will assure continuity amidst
change in administration or change in work force. It
would be helpful if OP could have a manual for
managing its electronic records.
OP has three external hard disks. The office has plan
to perform back-up from Laserfiche to capture the
folders, sub-folders and metadata of each record in
the EDMS. This is a pending request to eUP Team.
Training programs should be listed as a regular
project of UP with appropriate budget allocation.
The training program must be promulgated and
promoted. This can be done by assigning a
coordinator for UP training program.
Notes:
- Records managers may opt to focus on items with
partial compliance to meet the lacking requirements
for eventual compliance.
- Evidences and remarks are given to explain the
findings of the audit.
7%
65%
28%
142
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Evidence
Remarks
Partial
Partial
Yes
OSU is mandated to manage specific records only The creation of OSU was mandated by the law
records on Board of Regents (BOR) decisions and
(RA9500) and needs no further approval of NAP and
issuances of the UP President. Making it a fullDBM.
pledge records center/office is one good approach.
Yes
No
Partial
143
Compliance
Yes/No/
Partial
Partial
Evidence
Remarks
Partial
Partial
No
Partial
Partial
144
Compliance
Yes/No/
Partial
Yes
Remarks
OSU also uses UP DTS in records capture and
registration.
No
No
Partial
17
Yes
18
No
No
Evidence
Yes
Compliance
Yes/No/
Partial
Evidence
No
No
Records storage facilities are startegically located to
prevent unauthorised access. Records storage room
is locked and can only be accessed by the records
personnel of the office.
Yes
No
Yes
Yes
Yes
25
No
Remarks
No
146
Compliance
Yes/No/
Partial
30
31
No
32
Yes
Partial
Evidence
Remarks
No
No
36
No
Yes
No
No
No
No
147
Compliance
Yes/No/
Partial
Partial
Yes
Partial
Partial
No
43
Findings:
Yes
No
Partial
Evidence
Yes
13
20
13
Remarks
Needs proper documentation.
Notes:
- Records managers may opt to focus on items with
partial compliance to meet the lacking requirements
for eventual compliance.
- Evidences and remarks are given to explain the
findings of the audit.
28%
43%
28%
148
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Evidence
Remarks
Partial
Partial
Partial
UPD-OC operates a records unit. This unit serves as An organic records unit, which is approved by NAP
the main records unit in UP Diliman.
and DBM, will streamline its operations.
Partial
No
Partial
149
Compliance
Yes/No/
Partial
Evidence
Remarks
Partial
Needs approval.
Partial
Needs formalization.
Partial
Partial
Partial
No
Yes
Partial
150
Compliance
Yes/No/
Partial
Partial
Partial
Partial
Yes
Partial
Yes
Partial
Partial
Partial
Partial
Partial
25
Evidence
The records officer adds notes to records upon
capture. This is not documented.
The office uses logbooks, DTS and other computeraided system in records registration. This must be
formally documented.
Remarks
Needs documentation and inclusion in the records
management policy and manual of operation of the
unit to standardize the process.
UPD-OC has a guide in filing records. This needs to Needs crafting of a comprehensive filing manual.
be converted into a comprehensive filing manual for Vocabulary controls, index and shorthand codes
all records of the office.
should be part of this comprehensive manual.
Compliance
Yes/No/
Partial
Partial
Partial
30
34
36
Evidence
Inventory of records, computer-aided program and
compiled guides are also used by the office.
No
No
Yes
Partial
The office requires borrower's slip and receipt slips, Needs formal documentation and inclusion in the
as well as letter-request for the Chancellor's approval. records management policy and manual of operation
No detailed documentation is available.
of the unit.
No
Partial
Remarks
No
No
Yes
152
Compliance
Yes/No/
Partial
Yes
Partial
No
No
39
41
Partial
Partial
Yes
Partial
Yes
46
No
8
10
28
Evidence
The records officer conduct a periodic examination
of records every year.
Remarks
Must be included in the records management policy
and manual of operations.
Has policies and procedures but did not consult NAP. Needs review of the pratice and documentation.
Has no records management audit plan.
Has no program for this. The records unit of UPDOC perform some archival task. The records officer
should consult an archives officers to draft a program
for the office.
17%
22%
61%
153
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Evidence
Remarks
No
No
Partial
No
Compliance
Yes/No/
Partial
No
No
154
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
No
No
Partial
Partial
13
Yes
Partial
155
Compliance
Yes/No/
Partial
Evidence
No
Partial
No
No
Yes
No
Remarks
No
The storage room cannot be considered as miniarchives. UPLB-OC has not planned any transfer of
non-active records to NAP or any agency. If ever
UPLB-OC should transfer any record, it should be
closely coordinated with the RMO.
No
22
156
Compliance
Yes/No/
Partial
Yes
No
Partial
25
28
Partial
Evidence
Remarks
No
No
No established rules.
29
No
30
No
157
32
Compliance
Yes/No/
Partial
Evidence
Remarks
As shared by the records personnel, they are not
disposing any record yet.
No
No
No
34
No
No
No
No
No
No
No
43
No
No
No
No
158
Compliance
Yes/No/
Partial
No
No
46
Findings:
Yes
No
Partial
3
36
7
Evidence
Remarks
management trainings.
7%
78%
15%
159
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Partial
Yes
Evidence
UPLB RMO acknowledges RA 9470 in its records
management.
Yes
Yes
Remarks
No
160
13
Compliance
Yes/No/
Partial
Evidence
Partial
Partial
Yes
Yes
No
Yes
Partial
Yes
Remarks
161
Compliance
Yes/No/
Partial
Partial
Partial
Yes
Yes
17
22
No
Evidence
This function should be closely coordinated with all
units of UPLB, especially the Office of the
Chancellor.
The records officer adds notes to records upon
capture. This is not documented.
UPLB RMO uses logbooks, ADMS and computeraided system to register records. This is included in
the manual.
UPLB RMO has a well-estabslihed filing guide /
classification system which is reflected in the records
management manual.
No
Yes
Partial
Partial
Yes
Partial
Yes
25
Remarks
Needs review and formalization, for inclusion in the
records management manual.
Compliance
Yes/No/
Partial
Yes
Yes
28
No
29
Yes
34
Yes
Evidence
ADMS, and knowledge of the files. These are all
detailed in the manual, procedures are also clearly
stated.
The unit uses borrower's slip in loaning a records.
The maximum period set for loaned records is 1 day.
This is detailed in the manual, procedures are also
clearly stated.
No
The RRDS of UPLB is compliant with NAP GRDS.
Yes
Yes
Yes
Yes
Yes
No
Remarks
No
163
Compliance
Yes/No/
Partial
No
Partial
Yes
43
Yes
Partial
Yes
No
24
11
11
Remarks
Has no records management audit plan.
Has no program for this. The records unit of UPLBRMO perform some archival task. The records
officer can consider consulting with archives officers
to draft a program for the office.
No
Evidence
Notes:
- Records managers may opt to focus on items with
partial compliance to meet the lacking requirements
for eventual compliance.
- Evidences and remarks are given to explain the
findings of the audit.
52%
24%
24%
164
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Evidence
Remarks
No
No
No
Compliance
Yes/No/
Partial
No
No
No
No
165
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
No
Partial
Yes
Yes
Partial
166
20
Compliance
Yes/No/
Partial
No
Partial
No
No
Yes
No
22
No
No
Evidence
Yes
167
Remarks
Records for filing are compiled on a side table of the
records personnel for filing during free-time. No
codes or notes is assigned to the records upon receipt
or filing.
This is just a basic system which do not address the
complexity of the records that the office manages.
This system must be properly documented. A
manual should be promulagated to guide all records
personnel in the campus.
Classification system is not documented. Thus, the
old practice is maintained or developed by the
current records personnel. Drastic change cannot be
implemented due to lack of supporting documents.
The storage room cannot be considered as miniarchives. UPM-OC has no plans yet to transfer any
of its non-active records to NAP or any agency.
Has no standard/criteria to maximize filing
equipment and floor space.
Compliance
Yes/No/
Partial
No
Partial
25
28
29
30
31
32
33
34
35
Partial
Evidence
Remarks
By practice, release of any confidential record must
be approved by the Chancellor. To protect the
records and UPM-OC, the rules in handling
confidential records must be in place.
Aside from DTS, other finding aids should be
devised. Needs documentation.
Needs documentation.
No
No
No established rules.
No
No
No
No
No
No
No
Compliance
Yes/No/
Partial
No
No
No
No
43
No
No
No
No
Findings:
Yes
No
Partial
No
No
46
Remarks
Since the records personnel just recently handled the
records management in UPM-OC, 2 years ago, he has
not inventoried the records of the office. He is also
unaware of any effort in the past years.
No
Evidence
4
37
5
Notes:
- Records managers may opt to focus on items with
partial compliance to meet the lacking requirements
for eventual compliance.
- Evidences and remarks are given to explain the
findings of the audit.
9%
80%
11%
169
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Evidence
Remarks
The records personnel is not familiar with any
legislation on records management.
No
No
No
No
No
5
6
No
170
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
No
No
Partial
Partial
Yes
Partial
No
171
20
Compliance
Yes/No/
Partial
Partial
No
No
No
Yes
No
No
Partial
No
No
25
Evidence
172
Remarks
This is just a basic system which do not address the
complexity of the records that the office manages.
This system must be properly documented.
According to the records personnel, she uses a
classification scheme in managing records but not
documented. Thus, further enhancement cannot be
implemented due to lack of supporting documents.
The storage room cannot be considered as miniarchives. UPV-OC has not planned any transfer of
non-active records to NAP or any agency.
Has no standard/criteria to maximize filing
equipment and floor space.
Compliance
Yes/No/
Partial
Partial
Evidence
The office rely on the logbook to track records. The
office may consider devising new system for efficient
tracking.
No
Remarks
No
No established rules.
No
No established rules.
30
No
No established rules.
31
No
No established rules.
32
33
34
35
36
37
38
No
No
No
No
No
No
No
173
Compliance
Yes/No/
Partial
Evidence
No
Remarks
Has no records management audit plan.
No
No
43
No
No
No
No
No
46
Findings:
Yes
No
Partial
2
38
6
Notes:
- Records managers may opt to focus on items with
partial compliance to meet the lacking requirements
for eventual compliance.
- Evidences and remarks are given to explain the
findings of the audit.
4%
83%
13%
174
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Partial
No
No
Remarks
The records officer is familiar with RA 9470 but the
provisions are not implemented in their records
management practices.
No
Evidence
No
No
No
175
Compliance
Yes/No/
Partial
No
No
Partial
Partial
15
Remarks
No
13
Evidence
Yes
Partial
Partial
Partial
Compliance
Yes/No/
Partial
17
18
No
No
20
Yes
No
22
No
Partial
Partial
No
Partial
25
Partial
Evidence
UPOU-OC is using a file classification guide.
Remarks
This is just a listing of all the folder/cabinet drawers
the office has. A comprehensive classification
system should be crafted.
177
28
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
No established rules.
29
No
30
No
31
32
33
34
35
36
37
38
No
No
No
No
No
No
No
No
178
Compliance
Yes/No/
Partial
No
No
Partial
No
Partial
Yes
46
No
3
31
12
Remarks
Has no records management audit plan.
No
Evidence
7%
67%
26%
179
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Evidence
No
No
No
No
Partial
No
Remarks
No
180
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
No
Partial
No
Yes
13
Partial
No
181
17
Compliance
Yes/No/
Partial
Partial
No
No
Yes
Partial
No
Partial
Remarks
This should be reviewed and should be documented
comprehensively for any future update. The process
depends on the practice of the current records
personnel. The output of the records management
team may include the development of this process.
The campus has no systematic retention and
classification system yet. This system must be
reviewed and should be documented
comprehensively for any future update. The process
depends on the practice of the current records
personnel. The output of the records management
team may include the development of this process.
No
Evidence
25
28
29
30
31
32
33
Compliance
Yes/No/
Partial
Evidence
No
Partial
Partial
Partial
Remarks
No
No
No
No
No
No
183
Compliance
Yes/No/
Partial
No
Remarks
Retention codes are not identified before filing.
No
No
No
No
No
No
No
No
No
Partial
Yes
46
No
Evidence
3
33
10
Notes:
- Records managers may opt to focus on items with
partial compliance to meet the lacking requirements
for eventual compliance.
- Evidences and remarks are given to explain the
findings of the audit.
7%
72%
22%
184
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
No
No
No
Remarks
The records personnel is familiar with ISO 15489 and
RA 9470. She has plans to comply with said
regulations.
Though the records personnel has a copy of NAP
RDS, she admitted that she barely consult the
schedule. She also tried to inventory their records in
1996 but instead came up with a general listing of all
folders in their steel cabinets of the office.
No
Evidence
No
No
No
No
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
Partial
Partial
Yes
Partial
No
Partial
186
Compliance
Yes/No/
Partial
Partial
No
No
18
20
22
Partial
No
No
Partial
Evidence
Remarks
The records personnel shared that her folder listing
file in her computer was compromised during the ICT
upgrade of OC.
No
187
25
28
29
30
31
32
33
Compliance
Yes/No/
Partial
Partial
Partial
Evidence
In 1996, the records personnel came up with the
listing of all file folders in their records storage,
though there is no guarrantee that the record can be
found in related folders since the list contains folder
names only.
Remarks
No
No
No established rules.
No
No
No
No established rules.
No
No
No
188
Compliance
Yes/No/
Partial
No
No
No
No
No
No
No
Partial
Yes
46
No
No
43
Remarks
No
41
Evidence
2
34
10
4%
74%
22%
189
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Evidence
No
Partial
Remarks
No
No
No
No
No
190
Evidence
Remarks
No
No
No
Partial
Compliance
Yes/No/
Partial
UP Cebu Dean's Office uses logbook and UP DTS to This should be reviewed and should be documented
capture/register/track records.
comprehensively for any future update.
No
Yes
UP Cebu Dean's Office uses logbook and UP DTS to This should be reviewed and should be documented
capture/register/track records.
comprehensively for any future update.
Partial
13
15
No
191
Compliance
Yes/No/
Partial
Evidence
Remarks
Partial
UP Cebu Dean's Office uses logbook and UP DTS to This should be reviewed and should be documented
capture/register/track records.
comprehensively for any future update.
17
Partial
18
No
No
Partial
No
The storage room cannot be considered as miniarchives. UP Cebu has not planned any transfer of
non-active records to NAP or any agency.
No
22
192
28
29
Compliance
Yes/No/
Partial
Partial
Evidence
Remarks
No
Partial
Partial
No
No
No
31
32
Compliance
Yes/No/
Partial
Evidence
Remarks
Due to lack of time, records personnel barely review
the records for possible disposition.
No
No
No
No
34
No
No
No
Partial
No
No
41
No
No
39
194
Compliance
Yes/No/
Partial
No
No
No
No
Findings:
Yes
No
Partial
1
35
10
Remarks
They are now in the process of meeting the hardware
requirements of e-records management. The system
must also be documented at this early stage.
No
46
Evidence
2%
76%
22%
195
Date:
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.
Compliance
Yes/No/
Partial
Evidence
Remarks
Appendix I-B
Compliance
Yes/No/
Partial
Evidence
197
Remarks
Compliance
Yes/No/
Partial
Evidence
Remarks
Notes:
- Records managers may opt to focus on items with
partial compliance to meet the lacking requirements
for eventual compliance.
- Evidences and remarks are given to explain the
findings of the audit.
198
Appendix II
Head:
Reference:
Republic Act 9500. An Act to Strengthen the University of the Philippines as the National
University , 2008. Retrieved on 11 December 2014 from
http://www.lawphil.net/statutes/repacts/ra2008/ra_9500_2008.html
Organizational chart was provided by the respondent from OP.
200
Fact File on the Office of the Secretary of University and of the Board of Regents
as of June 2015
Unit:
Description:
Head:
Reference:
Official website of the Office of the Secretary of the University and of the Board of Regents. Retrieved on
15 January 2015 from http:// osu.up.edu.ph
Organizational chart was downloaded from OSU website.
201
Fact File on UP Diliman
as of June 2015
Unit:
Description:
History:
Number of students:
Number of faculty:
Number of degree programs:
Current Chancellor:
UP Diliman
UP Diliman is the flagship campus of the University of the Philippines. It is
the leading Philippine university in science education and research, law,
engineering, economics, business administration, education, public
administration, communication, and other fields that require professional
and licensure examinations. It also has a strong commitment to the arts. It
has a total area of 493 hectares.
In 1949, UP transferred from Manila to Diliman after the World War II as
the Manila campus of the University was devastated by the war. On
February 12, 1949, a motorcade made its way from Padre Faura all the way
to a cogon-strewn expanse in Quezon City. At its head, borne on an open
vehicle, was the Oblation, bronzed symbol of the University of the
Philippines, on its way to its future home. This ceremony marked the
university's transfer from its original site in Manila to its 493-hectare
campus Diliman, which would have more room for the University's
expansion as it fulfilled its role as educator to the nation.
23,000
2,000
300
Dr. Michael L. Tan
202
Orgranizational Chart of UP Diliman
203
Organizational Chart of UP Diliman - Office of the Chancellor
References:
Official website of the University of the Philippines Diliman. Retrieved on 15 May 2015 from
http:// www.upd.edu.ph
University of the Philippines. (2014). University of the Philippines . Unpublished brochure, University
of the Philippines System Information Office.
Organizational charts were provided by the respondent from UPD-OC.
204
Fact File on UP Los Baos
as of June 2015
Unit:
Description:
History:
Number of students:
Number of faculty:
Number of degree programs:
Current Chancellor:
UP Los Baos
UP Los Baos is located in Laguna, nestled at the foot of Mt. Makiling. It is
the recognized leader in agriculture, forestry and natural resources,
veterinary medicine, biological and environmental sciences, development
communication, engineering, mathematics, computer science, and
information technology. Its College of Agriculture was one of the first three
units organized in UP in 1909, offering the first-of-its-kind university-level
instruction in basic and applied agricultural science in Southeast Asia.
Its College of Agriculture was one of the first three units organized in UP
in 1909, offering the first-of-its-kind university-level instruction in basic and
applied agricultural science in Southeast Asia. The College then became the
nucleus of UP Los Baos in 1972 when the campus was elevated to an
autonomous campus through P.D. No. 58.
13,000
1,000
129
Dr. Fernando C. Sanchez, Jr
205
Organizational Chart of UP Los Baos - Office of the Chancellor
References:
Official website of the University of the Philippines Los Banos. Retrieved on 15 May 2015 from
http:// www.uplb.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University
of the Philippines System Information Office.
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from
http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Organizational charts were provided by the respondent from UPLB-OC.
206
Fact File on UP Los Baos - Records Management Office
as of June 2015
Unit:
Description:
History:
Head:
References:
UP Los Banos - Records Management Office (UPLB-RMO). (2004). RMO Manual of Operations and
Procedures . Unpublished manual. University of the Philippines Los Banos, OVCA.
Organizational chart was grabbed from UPLB-RMO Manual of Operations and Procedures.
207
Fact File on UP Manila
as of June 2015
Unit:
Description:
History:
Number of students:
Number of faculty:
Number of degree programs:
Current Chancellor:
UP Manila
UP Manila is the health sciences center of the UP System. It is the home to
the National Institutes of Health (NIH) and the largest government tertiary
hospital in the country, the Philippine General Hospital. Its mission/vision
is to constantly strive to become an outstanding and relevant institution of
the higher learning. Thus it shall provide the highest quality of advanced
instruction, professional training, basic and applied research and community
service, and thereby produce outstanding scholars, practitioners and leaders
in the fields of health, the natural sciences, the social sciences and the
humanities.
UP Manila at the Ermita-Padre Faura campus is the birthplace of UP in
1908. Because of World War II, UP campus in Manila was severely
damaged. The University transferred to Diliman, Quezon City in 1948
leaving behind the College of Medicine, College of Public Health and
College of Dentistry which continue to hold classes in makeshift rooms.
Through the years, additional college, institutes and units were established
in Manila.
5,900
1,200
62
Dr. Carmencita D. Padilla
208
Orgranizational Chart of UP Manila
209
Organizational Chart of UP Manila - Office of the Chancellor
References:
Official website of the University of the Philippines Manila. Retrieved on 15 May 2015 from
http:// www.upm.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University
of the Philippines System Information Office.
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from
http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Organizational charts were provided by the respondent from UPM-OC.
210
Fact File on UP Visayas
as of June 2015
Unit:
Description:
History:
Number of students:
Number of faculty:
Number of degree programs:
Current Chancellor:
UP Visayas
UP Visayas operates three campuses in Iloilo, Miagao and Tacloban. It is
the leading university in marine science education and research, fisheries,
and aquaculture.
4,900
350
38
Dr. Rommel A. Espinosa
211
References:
Official website of the University of the Philippines Visayas. Retrieved on 15 May 2015 from
http:// www.upv.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University
of the Philippines System Information Office.
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from
http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Organizational charts were provided by the respondent from UPV-OC.
212
Fact File on UP Open University
as of June 2015
Unit:
Description:
History:
Number of students:
Number of faculty:
Number of degree programs:
Current Chancellor:
UP Open University
The UP Open University is a virtual university with base office in Los
Baos, Laguna. It has seven learning centers and 21 testing centers all over
the country. It also has virtual learning centers for its students based abroad.
UP Open University was established on 23 February 1995 as the leader in
teaching and learning in the digital age. It provides quality education to
students in the country and abroad who are not able to attend conventional
colleges and universities due to personal and professional constraints.
2,500
200
29
Dr. Grace J. Alfonso
213
Organizational Chart of UP Open University - Office of the Chancellor
References:
Official website of the University of the Philippines Open University. Retrieved on 15 May 2015
from http:// www.upou.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University
of the Philippines System Information Office.
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from
http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Organizational charts were downloaded from UPOU website.
214
Fact File on UP Mindanao
as of June 2015
Unit:
Description:
History:
Number of students:
Number of faculty:
Number of degree programs:
Current Chancellor:
UP Mindanao
UP Mindanao's vision is to EXCEL in Leadership, Education, Nationalism,
Cultural sensitivity, and Environmental nurturance. It is
committed to lead in providing affordable quality education, scholarly
research, and responsive and relevant extension services to diverse,
marginalized and deserving sectors in Mindanao and neighboring regions
through its programs in the sciences and the arts, inculcating a passion for
excellence, creative thinking, and nationalism in the context of cultural
diversity in a global community.
UP Mindanao was established on 20 February 1995 through the enactment
of Republic Act 7889 which created UP in Mindanao. In 1998, the BOR
granted full autonomy to UP in Mindanao and became the sixth constituent
unit of the UP System.
1,100
93
11
Dr. Sylvia B. Concepcion
215
Organizational Chart of UP Mindanao - Office of the Chancellor
References:
Official website of the University of the Philippines Mindanao. Retrieved on 15 May 2015 from
http:// www.upmin.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University
of the Philippines System Information Office.
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from
http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Organizational charts were provided by the respondent from UPMin-OC.
216
Fact File on UP Baguio
as of June 2015
Unit:
Description:
History:
Number of students:
Number of faculty:
Number of degree programs:
Current Chancellor:
UP Baguio
UP Baguio is also known as the UP in the North. Throughout the years, UP
Baguio has worked at serving as the lead institution in the delivery of
tertiary education in Northern Luzon, sustaining its efforts at modernization,
the strengthening of curricular programs, and the active generation of
knowledge through research.
3,000
143
14
Dr. Raymundo D. Rovillos
217
Organizational Chart of UP Baguio - Office of the Chancellor
References:
Official website of the University of the Philippines Baguio. Retrieved on 15 May 2015 from
http:// www.upb.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University
of the Philippines System Information Office.
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from
http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Organizational charts were provided by the respondent from UPB-OC.
218
Fact File on UP Cebu College
as of June 2015
Unit:
Description:
History:
Number of students:
Number of faculty:
Number of degree programs:
Current Dean:
UP Cebu College
Being an autonomous college, UP Cebu envisions to significantly contribute
to the development of the Central Visayas region through a constant
produce of researches, higher education instruction and technical assistance.
UP Cebu was established in 1918 as satellite unit of UP Diliman. It is the
oldest among the UP campuses outside of Luzon. It was later on attached to
UP Visayas as one of its campuses. In 2010, the BOR elevated its status to
an autonomous college.
1,600
120
13
Atty. Liza D. Corro
Orgranizational Chart of UP Cebu
219
Organizational Chart of UP Cebu
References:
Official website of the University of the Philippines Cebu. Retrieved on 15 May 2015 from
http:// www.upcebu.edu.ph
University of the Philippines. (2014). University of the Philippines. Unpublished brochure, University
of the Philippines System Information Office.
UP System Budget Office. (2013). U.P. Statistics 2013. Retrieved on 5 May 2015, from
http://www.up.edu.ph/wp-content/uploads/2013/04/UP_StatBook_2013.pdf
Organizational charts were provided by the respondent from UP Cebu.
Office:
Record Officer in-charge:
Date:
PART I: List of Documentation to be requested from units concerned
NOTE: Please "/" the column after each document if available and "x" if none. You may include a remark for some notation. Please provide the documents together with the accomplished
survey questionnaire. Thank you!
Records management procedures / manual used by the records management personnel, including any inhouse training material or details of other training
16 Agreements with any third-party service providers for business continuity services
17 Surrogacy program (digitization or microfilm/fiching ) documentation
18 Staff job descriptions of personnel in-charge of records
Appendix III-A
Appendix III-B
Part II: Survey Questionnaire
(For Records Managers / Personnel)
Instructions: Please answer the survey questionnaire by either providing your answers or by ticking your
answer/s from the listed choices. Thank you.
I.
II. List of rules, policies, laws and other regulations observed in records management (please give the
agency that issued the regulation).
III. Records
1. Do your records meet the requirements and needs of your office?
[ ] Yes [ ] No
Please explain your answer briefly.
2.
222
IV. Records Management Tools: Please check the tools you are using in the office
[ ] Records classification scheme
[ ] Records disposition authority/schedule
[ ] Security and Access Classification Scheme
[ ] Thesaurus
[ ] Index
[ ] Allocation of number and code
[ ] Glossary of terms or other vocabulary control [ ] Security and access guides
[ ] Records inventory and appraisal
[ ] Records disposition schedule (RDS)
[ ] General Records Disposition Schedule (GRDS) [ ] Records management manual
[ ] Retention code based on GRDS and agencys RDS
[ ] File classification guide/scheme for uniform filing system
[ ] Requisition and charge-out procedures in issuing files
[ ] Other tools, please provide.
V. Records Management Practices:
1. Do you have an established Records and Archives Management Program? [ ] Yes
[ ] No
[
[
[
[
5. Do you have:
A centralized messengerial service?
A centralized releasing and receiving office?
A records center?
[ ] Yes
[ ] Yes
[ ] Yes
]
]
]
]
Yes
Yes
Yes
Yes
[
[
[
[
]
]
]
]
No
No
No
No
[ ] No
[ ] No
[ ] No
223
3. Are outgoing letters and memoranda reviewed and revised prior to their release?
[ ] Yes
[ ] No
If Yes, how often and by whom?
4. Do you have uniform prescribed titles for the following administrative issuances?
Administrative Order
[ ] Yes
[ ] No
Circular
[ ] Yes
[ ] No
Executive Order
[ ] Yes
[ ] No
Memorandum Order
[ ] Yes
[ ] No
5. Do you have the following machine records processors?
Photocopying (Xerox) Machines
[ ] Yes
Microfilms
[ ] Yes
Computers / Scanners
[ ] Yes
[ ] No
[ ] No
[ ] No
6. Do you process the records being captured by adding notes on index, access conditions,
classification guide, disposition schedule, and other related details? [ ] Yes [ ] No
Please explain your answer briefly.
7. For electronic records, do you capture the metadata associated with it? [ ] Yes [ ] No
B. Record Registration
1. How do you register your records?
[ ] Logbook system
[ ] Document Tracking System
[ ] Computer-aided system
[ ] Others (Please provide)
2.
3.
C. Classification
How do you classify your records?
[ ] By types or forms
[ ] By office or institution
[ ] By geographic grouping
[ ] Others, please provide.
[ ] Yes [ ] No
[ ] By subject or topic
[ ] By date or chronology
[ ] By numeric category (number or code)
224
E. Storage
1. Do you sort and file your record according to its classification (please refer to letter C)?
[ ] Yes
[ ] No
2. How do you file your records?
[ ] With folder and label
[ ] Stapled with label
[ ] Others, please provide.
3. Where do you store your records?
[ ] Steel filing cabinets
[ ] Wooden filing cabinets
[ ] Shelves / Racks
[ ] Boxes
[ ] Electronic storage devices (email, PCs, USB, DVD, repositories)
[ ] Others, please provide.
4. What is your time lag in the filing of active records?
5. Do you prohibit the filing of non-record materials? (for example: books, magazines, daily
newspapers) [ ] Yes [ ] No
If yes, how?
[ ] Transfer to (what office)
[ ] Dispose (how)
[ ] Others, please specify
6. Do you have a filing manual? [ ] Yes
[ ] No
[ ] No
[ ] No
[ ] Considering
225
2. What recording system is required by officials in loaning out files?
[ ] borrowers slips
[ ] receipt slips
[ ] others, please specify
3. What system do you use to track active (referred to other office) records and on loan records?
[ ] recall slips
[ ] follow up slips
[ ] tickler slips
[ ] computer-aided file
[ ] others, please specify.
4. Who determines whether confidential files may be released?
5. What is the maximum period set for the loan of records?
G. Implementation of Disposition
1. Have you inventoried your files for the purpose of determining their retention or disposition? [ ]
Yes
[ ] No
If yes, please describe the results of your inventory.
2. Do you have policies and procedures for the preservation and retention of records?
[ ] Yes [ ] No
3. Do you have a schedule being followed to identify what records to retain or dispose, how long
these materials should be retained and how to dispose these records? [ ] Yes
[ ] No
4. Which of the following describe your current practices in records retention?
(please check all that apply)
[ ] retaining information concerning the past and present decisions as part of the institutional
memory and information about decisions and activities in the present and in the future
[ ] retaining evidence of the past and present activities to meet accountability obligations
[ ] eliminating as early as possible and in an authorized and systematic manner, records which
are no longer required for the operations and activities of the office
[ ] retaining the context of the records which will enable future users to judge the authenticity
and reliability, even in cases where records systems in which they are retained have
undergone significant changes
[ ] identifying the enforceable or legitimate interest that stakeholders may have in preserving the
records for longer than they are required by the office itself
[ ] identifying and assessing legal, financial, political, social, or other positive gains for
preserving records to serve the interest of research and the society
5. Have you planned for the systematic disposition of records by:
Segregation and disposal of non-record materials
(such as books, magazines, etc.)?
[ ] Yes [ ] No
Segregation and disposal of valueless materials?
[ ] Yes [ ] No
Transfer of valuable records to a storage area,
[ ] Yes [ ] No
archives, or depository?
6. Who develops and coordinates these records dispositions plans/schedules?
226
7. How often do you dispose valueless records?
8. Do you identify or list the records to be destroyed? [ ] Yes [ ] No
9. Who gives consent to destroy records?
10. Do you have established guidelines on transfer of custody/ownership of records?
[ ] Yes [ ] No
11. What safeguards do you have to avoid unauthorized removal or destruction of records?
12. Do you have policies and procedures for the preservation and restoration of records?
[ ] Yes [ ] No
If yes, please describe briefly.
[ ] No
[ ] No
4. Do you have an existing audit tool for your records management needs? [ ] Yes
[ ] No
[ ] No
227
___ The records management system is effective and efficient for formal communication, legal
requirements, and decision making in my university.
3. Causes of records problems:
___ Managers sometimes do not pay enough attention to our work.
___ Ineffective bureaucracy and slow communication channels.
___ Inefficiency of the records management system used for form.al communication.
___ Retrieval of required records can be problematic.
___ Problematic behavior of other workers
VIII. Records Office and Personnel
1. Do you have a records office/records management office in your institution?
[ ] Yes [ ] No
If yes, please describe the following:
a. Organizational structure of the records office
(please use additional sheet if necessary)
228
7. Do you plan / consider having a standard records management program for UP?
[ ] Yes [ ] No
Please explain your answer briefly.
8. Do you have a schedule of training your records/archives officer / staff ?
[ ] Yes [ ] No
9. What trainings have your records personnel had? Please provide the dates of trainings.
10. What training (if any) do you feel your records personnel need? Please explain your answer
briefly.
11. Does the institution give support to the records management program?
[ ] Yes [ ] No
Please explain your answer.
12. Are you aware of the punishment under the law for records management related offenses?
[ ] Yes [ ] No
IX. Archival Practices
1. Do you have an archives office/unit? [ ] Yes [ ] No
2. Do you have a mini archives/storage for your non-current records?
[ ] Yes [ ] No
3. Do you have a written policy and guideline/manual on how to handle archival materials?
[ ] Yes [ ] No
If yes, please provide and describe briefly.
4. Do you have a preservation program of archival records?
[ ] Yes [ ] No
5. Who are authorized to access your archival records?
[ ] Officials and other employees (including students)
[ ] Open to public
[ ] Others, please specify
---Toward a OneUP Records Management Program. Thank you for your participation.---
Appendix III-C
Unit *
OP
OSU
UP Diliman
UP Manila
UP Los Baos
UP Visayas
UP Open University
UP Mindanao
UP Baguio
UP Cebu
What are the common problems you encounter in managing your records? *
You may choose more than 1 answer.
Missing records
Misrouted records
Difficulty in retrieving/accessing records
Skills of the staff
Other:
Would you like to consider standardizing the records management in your campus? *
Yes
No
How much budget are you willing to commit to improve the records management of your office /
campus? *
no limit, will support all efforts to standardize the records management
maximum of P500,000/year
P100,000 to P200,000/year
up to P50,000/year
Not ready to commit financial support
Appendix III-D
What are the common problems you encounter in dealing with the records units in UP? You
may choose more than 1.
Please share your experience if not listed in the choices below.
Hostile records managers/staff
Absence of a standard practice
Poor records retrieval skills - delay in providing requested records
Other:
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Appendix IV
17 April 2015
President Alfredo E.Pascual
University of the Philippines
SUBJECT:Permission to conduct survey and interview in connection with the study entitled "A
Sample Assessment of Records Management Practices in the University of the Philippines
Toward a Development of a Self-Audit Tool"
....
Ex utive Assistant
Office of the President
232
17 April 2015
President Alfredo E. Pascual
University of the Philippines
Dear President Pascual:
Greetings!
I am a student of the School of Library and Information Studies, UP Diliman, taking up Master of
Library and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled itA Sample Assessment of
Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and
determine the compliance level of these practices with the ISO 15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the
university. A self-audit tool for UP will also be proposed at the end of the study.
In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and
interviews in the Office of the President, Office of the Secretary of the University and the Offices of
the Chancellors / Office of the Dean, particularly the records office/section of the respective offices.
Lastly, may I also solicit your help in answering a short survey which I will send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall
be used for research purposes only.
Thank you.
Respectfully yours,
Re elle O.Cornia-Duenas
03 05425
Noted by:
233
17 April 2015
Dr. Lilian A. De Las LJagas
Secretary of the University and the Board of Regents
University of the Philippines
Dear Secretary De Las LJagas:
Greetings!
I am a student of the School of Library and Information Studies, UP Diliman, taking up Master of
Library and Information Science (MUS).
I am currently conducting a survey for my research paper entitled "ASample Assessment of
Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and
determine the compliance level of these practices with the ISO 15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the
university. A self-audit tool for UP will also be proposed at the end of the study.
In this regard, may I be allowed to conduct a survey (through the attached questionnaire) and
interviews in the Office of the Secretary of the University and of the Board of Regents, particularly
the records office/section. It will be appreciated if you could endorse my letter to your records
officer/so
Lastly, may I also solicit your help in answering a short survey which I will send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall
be used for research purposes only.
Thank you.
Respectfully yours,
Noted by:
234
17 April 2015
Noted by:
235
17 April 2015
Noted by:
236
17 April 2015
Rech~~as
03-0~~;~'
UP Diliman
Noted by:
237
17 April 2015
Noted by:
238
17 April 2015
Dr. Grace J. Alfonso
Chancellor, UP Open University
Dear Chancellor Alfonso:
Greetings!
I am a student of the School of Library and Information Science, UP Diliman, taking up Master of
Library and Information Science (MLIS).
I am currently conducting a survey for my research paper entitled "ASample Assessment of
Records Management Practices in the University of the Philippines Toward a Development of a SelfAudit Tool." The study aims to assess the current status of the records management in UP and
determine the compliance level of these practices with the ISO15489 and RA9470 through a selfaudit tool. Recommendations will be proposed for a standard records management in the
university. A self-audit tool for UP will also be proposed at the end of the study.
Your campus, being one of the constituents universities of UP,is one of the subject units of my
research. In this regard, may I be allowed to conduct a survey (through the attached questionnaire)
and interviews in your office, particularly the records office/section. It will be appreciated if you
could endorse my letter to your records officerIs.
Lastly, may I also solicit your help in answering a short survey which I will send via email?
Your assistance will contribute to the success of this paper. Rest assured that all data gathered shall
be used for research purposes only.
Thank you.
Respectfully yours,
ReCElle O~fias
03- 5425
UP iliman
Noted by:
239
17 April 2015
Noted by:
240
17 April 2015
ReC~iias
03-~~~~'
UP Diliman
Noted by:
241
University of the Philippines
17 April 2015
Noted by: