Assessment of Records Management in The University of The Philippines

A SAMPLE ASSESSMENT OF
RECORDS MANAGEMENT PRACTICES IN THE

UNIVERSITY OF THE PHILIPPINES
TOWARD A DEVELOPMENT OF A SELF-AUDIT TOOL
RECHELLE OLAGUER COMIA
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
MASTER OF LIBRARY AND INFORMATION SCENCE
JULY 2015
This special problem entitled, A Sample Assessment of Records

Management Practices in the University of the Philippines Toward a Development of
a Self-Audit Tool, prepared and submitted by Ms. Rechelle O. Comia in partial
fulfillment of the requirements for the degree of Master of Library and Information
Science, is hereby accepted.
BENEDICT SALAZAR OLGADO

Adviser
Accepted as partial fulfillment of the requirements for the degree of Master

of Library and Information Science.
KATHLEEN LOURDES B. OBILLE

Dean

3/F GONZALEZ HALL 1101 QUEZON CITY, PHILIPPINES
Telephone: (632) 981-8500 loc. 2870, 2871
Telefax: (632) 981-8500 loc. 2869
E-mail: ilis@up.edu.ph
28 July 2015
Prof. Kathleen Lourdes B. Obille

Dean
School of Library and Information Studies
U.P. Diliman, Quezon City
Dear Prof. Obille:

After having read the special problem of Ms. Rechelle O. Comia entitled,
A Sample Assessment of Records Management Practices in the University of the
Philippines Toward a Development of a Self-Audit Tool, and after having made
the necessary suggestions for improvement which were incorporated in the final
draft, I recommend that this special problem be accepted in partial fulfillment of
the requirements for the degree of Master of Library and Information Science.
Sincerely yours,
EIMEE RHEA C. LAGRAMA

Reader

3/F GONZALEZ HALL 1101 QUEZON CITY, PHILIPPINES
Telephone: (632) 981-8500 loc. 2870, 2871
Telefax: (632) 981-8500 loc. 2869
E-mail: ilis@up.edu.ph
THESIS/SPECIAL PROBLEM OPEN ACCESS PERMISSION
I, Rechelle O. Comia, author of the special problem entitled A Sample Assessment of Records
Management Practices in the University of the Philippines Toward a Development of a Self-Audit Tool,
submitted to the UP School of Library and Information Studies as partial requirement for the degree of
MASTER OF LIBRARY AND INFORMATION SCIENCE, do hereby grant to the UP SLIS a nonexclusive worldwide, royalty-free license to reproduce, publish and publicly distribute copies of said
special problem in whatever form subject to the provisions of applicable laws, the provisions of the
Intellectual Property Rights Policy of the University of the Philippines and any contractual obligations
(Art.7, Revised UP IPR Policy, June 3, 2011). Specifically, the following rights are hereby granted to the
UP SLIS:
1. to upload a copy of this work in the UP SLIS theses database and in any other of its
databases available on the public internet;
2. to publish the work in the UP SLIS Journal of Philippine Librarianship or any of its
subsequent journal publications, both in print format and online; and
3. to give open access to above-mentioned work, thus allowing fair use as defined in the
Intellectual Property Code of the Philippines, provided, that, I be properly acknowledged and
cited as the author of the work.
__________________
RECHELLE O. COMIA
LIMITED ACCESS AUTHORIZATION
(For Potentially Patentable Thesis/Dissertation)
TITLE:
A Sample Assessment of Records Management Practices in the

University of the Philippines Toward a Development of a Self-Audit Tool
AUTHOR:
Rechelle O. Comia
ADVISER:
Prof. Benedict Salazar Olgado
READER:
Ms. Eimee Rhea C. Lagrama
DATE SUBMITTED: 28 July 2015
DEGREE:
MASTER OF LIBRARY AND INFORMATION SCIENCE
Permission is given for the following people to have access to this thesis:
Available to the general public
Available only after consultation with author/thesis adviser
Available only to those bound by confidentiality agreement
Rechelle O. Comia
Student
Benedict Salazar Olgado

Adviser
Yes
No
No
Kathleen Lourdes B. Obille

Dean
BIOGRAPHICAL DATA
Name
Rechelle Olaguer Comia
Date of Birth
30 April 1986
Place of Birth
Caloocan City
Educational Attainment
Master of Library and Information Science

University of the Philippines Diliman
July 2015
Bachelor of Arts in Araling Pilipino, cum laude

Concentration: Philippine Literature and
Psychology
College of Arts and Letters
University of the Philippines Diliman
October 2007
Professional Eligibilities
Certificate of Eligibility # 10130354

Pursuant to PD # 907
Civil Service Commission
2 November 2007
Present Position
Executive Assistant I
Office of the President
University of the Philippines System
Diliman, Quezon City
October 2010 present
Organizational Affiliation
UP Alumni Association (UPAA)

2015-2016
Member
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
To my loving husband, Michael,

whose love and support provided me the strength to achieve my dreams;
to my dearest son, Yves,
for being my ultimate source of inspiration;
and
to Nanay and Tatay,
for sacrificing everything to provide the best education for their children.
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 ......
Background of the Study .....

Statement of the Problem .....
Objectives of the Study ........
Significance of the Study .....
Scope and Limitations of the Study .....
1
12
13
14
15
II. REVIEW OF RELATED LITERATURE ..
17
On Records Management in UP .......

On Records Management Practices in Government Units and
Other Universities (Local/International) ..
On the Assessment and Implementation of ISO 15489 .......
On Records Management Audit ...
Conceptual Framework of the Study ........
Definition of Terms ..
17
III. METHODOLOGY.......
39
Research Design ...

Population and Sample..
Research Instruments ....
Data Collection .....
Analysis of Data ....
39
40
41
43
43
IV. PRESENTATION, ANALYSIS AND

INTERPRETATION OF DATA ....
45
Profile of UP Respondents ....

Overview on the Subject Units and its Records Management ..
The Records of the Subject Units ..................
Records Management Practices in UP ......
Management of Archival Records in UP ..
UPs Compliance with the General Provisions of
ISO 15489 and RA 9470 .......
Common Records Problems in UP.....
Support Towards a Standard UP Records Management Program .
xi
23
27
30
30
33
45
51
59
62
102
103
106
112
V. SUMMARY, CONCLUSIONS AND RECOMMENDATIONS........
116
Summary ... 116

Conclusions ... 123
Recommendations ..... 125
REFERENCES .... 129
APPENDICES
I-A
I-B
II
III-A
III-B
III-C
III-D
IV
Results of Self-Audit Tool ...

Proposed Self-Audit Tool .....
Fact File on UP Units .......
List of documents requested from the Main Respondents ...
Questionnaire for Main Respondents....
Questionnaire for Heads of Units .....
Questionnaire for Selected Records Clients .....
Covering Letters .......
xii
134
196
199
220
221
229
230
231
LIST OF TABLES
Table
Page
1. Distribution of Respondents by Group ..
46
2. Distribution of Main Respondents by Unit ...
47
3. Distribution of Main Respondents by Position Title .
48
4. List of Educational Attainment of Main Respondents ..
49
5. Distribution of Main Respondents by Years of Service in UP ..
50
6. Distribution of Main Respondents by

Years of Service as Records Officer/Personnel .
50
7. Types of Records Managed by UP ........
60
8. Formats of Records Managed by UP (in percent) .
61
9. Records Creation Control in UP
64
10. Records Registration Systems in UP .
67
11. Elements Captured by UP During Records Registration
71
12. Classification of UP Records .
73
13. Records Storage Facilities in UP
77
14. Status of UP Records Storage .
78
15. Finding Aids used by UP Units ..
83
16. Accommodation of Records Request in UP ..
85
17. Tracking System for Active and/or on Loan UP Records ......
86
18. Purposes of ecords Retention and Disposition Schedule in UP .
89
19. Records Management Tools Used by UP ......
93
20. Electronic Records Management in UP .
99
xiii
21. Perceived Records Issues of Heads of Units ..... 107

22. Common Difficulties Experienced in Storage
and Retrieval of Records in UP . 109
23. Perceived Causes of Records Problems in UP .. 110
24. Perceived Status of Records Management in UP .. 111
xiv
LIST OF FIGURES
Figure
Page
1. UP organizational chart .
2. The eUP core systems ...
3. Venn diagram of ISO 15489 and RA 9470 ...
31
4. Schematic diagram on the assessment of
UPs records management practices .
32
5. Samples of uniform titles/codes for creation of UP records..
65
6. UP Document Tracking System (UP DTS) and UPLBs DTS .
69
7. UP Manilas Document Assessment and Tracking System .
70
8. Electronic document management system (Laserfiche)

used by OP and OSU ....
71
9. UPLB-RMOs indexing and cross-referencing system
74
10. UPs records storage facilities and areas ..
79
11. Securing access to UP records ......
82
12. Forms used by UPLB-RMO for on loan records ..
85
13. OSU records for transfer to the University Archives and

Records Depository (UARD) ....
90
14. UPLB-RMOs records transfer procedure ....
91
15. Electronic records management in UPLB-RMO .. 100

16. The eOSU Project . 102
xv
CHAPTER I
INTRODUCTION
Background of the Study

Records serve as the memories, the raw materials for decision-making, and
the basis of legal defensibility of an institution (Klc, 2009) thus they are
considered one of its indispensable resources. Likewise, for a century old academic
institution like the University of the Philippines (UP), records play a vital role in its
existence. As such, the assessment of how the University handles its records through
the years is a key area of research. This is the main purpose of this endeavor: to give
the stakeholders of the University a glimpse on how it manages records in line with
prescribed standards and legal mandates such as the ISO 15489 and RA 9470.
Records and its Management
According to ISO 15489, records are information created, received, and
maintained as evidence and information by an organization or person, in pursuance
of legal obligations or in the transaction of business (2001, p. 3). The Australia
State Records Act 1998 elaborated that a record is any document or other source of
information compiled, recorded or stored in written form or on film, or by electronic
process, or in any other manner or by any other means (Sec. 3[1]).
From the early form of records to its current technology-aided form, a
number of efforts dealing with its complexities have been documented in various
literatures. One major effort is the standardization of records management was
launched in 2001.
The development of ISO 15489-1:2001 (Information and
Documentation Records Management) highlighted the increasing international

recognition for records management. In the Philippines, an effort to promote an
effective recordkeeping, the National Archives of the Philippines Act of 2007
(Republic Act No. 9470), was passed into law in 2007. It strengthens the system of
management and administration of archival records (National Archives of the
Philippines [NAP], 2007, p. 1). These two regulations are considered the key tools
in assessing the records management practices in the country.
The mere presence of records means the need to have a records management
practice. Records management is the:
field of management responsible for the efficient and systematic
control of the creation, receipt, maintenance, use and disposition of
records, including processes for capturing and maintaining evidence
of and information about business activities and transactions in the
form of records. (ISO 15489-1:2001, p. 3)
Additionally, the National Archives and Records Administration (NARA) in
the United States describes it as the planning, controlling, directing, organizing,
training, promoting, and other managerial activities involved with respect to records
creation, records maintenance and use, and records disposition in order to achieve
adequate and proper documentation of the policies and transactions (National
Archives and Records Administration [NARA], 44 U.S.C. Chapter 29, 2901.
Definitions). It includes:
setting policies and standards; assigning responsibilities and
authorities; establishing and promulgating procedures and
guidelines; providing a range of services relating to the management
and use of records; designing, implementing and administering
specialized systems for managing records; and, integrating records

management into business systems and processes. (ISO 154891:2001, p. 4)
Just like other institutions, higher education institutions like UP are also
confronted with the complexities of managing its records. A way to cope with these
complexities is through an effective implementation of a sound records management
program.
Standardization of Records Management Practices
In this information age, the effort to standardize international best practices in
records management is an exigency. The ISO 15489 was the product of a collective
international effort to develop an international standard out of the Australian
Standard 4390 or AS 4390 (1996), an Australian standard for records management.
It was developed in response to consensus among participating ISO member
countries to standardize international best practice in records management (ISO15489:1-2001, Introduction).
The AS 4390 was able to capture international attention because it is already
technically sound and gives good foundation for a records management program
(Carlisle, 1997). After almost four years of developing an international standard out
of the AS 4390, the ISO 15489 was finally issued in September 2001 (Cumming,
2003). It came out in two parts. Part 1: General, contains guidance on managing
records of originating organizations, public or private, for internal and external
clients (ISO 15489:1-2001, Clause 1) and elements of records management and
defines the necessary results or outcomes to be achieved (ISO 15489-2:2001,

Introduction). While, Part 2: Guidelines:
is an implementation guide to ISO 15489-1 for use by record
management professionals and those charged with managing records
in their organizations. It provides one methodology that will
facilitate the implementation of ISO 15489-1 in all organizations that
have a need to manage their records. It gives an overview of the
processes and factors to consider in organizations wishing to comply
with ISO 15489-1. (ISO 15489-2:2001, Clause 1)
In the Philippines, the RA 9470 otherwise known as the National Archives of

the Philippines Act of 2007 was issued to empower better coordination in the
management of government records and public archives (Official Gazette, 2009, p.
1715). The law also reorganized the National Archives of the Philippines (from the
abolished Records Management and Archives Office [RMAO]) which is the agency
in-charge of the implementation of objectives and provisions of the RA 9470. The
law is interpreted according to the Article I, Section 2 of RA 9470:
It is the policy of the State to protect, conserve, promote and
popularize the nations historical and cultural heritage and resources.
The State shall pursue, conserve and promote the Filipino cultural
heritage and resources including the documentary records of Filipino
culture, history and governance.
The State shall give utmost priority for the safeguard, protection and
preservation of its public documents and records, not only as
fundamental instruments for efficient and effective governance but
also as essential tools for the preservation of the countrys history
and cultural memory.
Towards this end, all public records with enduring value, held by
government offices, including, but not limited to, all branches of
government, constitutional offices, local government units (LGUs),
government-owned and controlled corporations (GOCCs), state
universities and colleges, Philippine embassies, consulates and other

Philippine offices abroad shall be transferred to a permanent
government repository for proper management, control and
regulation of record disposition. (RA 9470, Article I, Section 2)
The purposes of the act are to:
-
strengthen the existing system of management of public records

and administration of government archives;
mandate government accountability to ensure that full and
accurate records of the affairs of the national and local
government units are maintained and preserved;
enhance public confidence in the integrity of public
recordkeeping and management;
ensure accessibility of public records relevant to the promotion
and preservation of Philippine cultural heritage; and,
support the safekeeping of private records with archival value.
(NAP, 2007, p. 1)
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
national university in the country.
The RA 9500 (2008, Sec. 3) mandated UP to
serve and lead as a teaching university, as a graduate university, as a research

university, as a public university, and as a regional and global university.
Being a global university, complying with international standards should be a
University concern. One important international standard for consideration is the
ISO 15489.
Compliance with such standard ensures the Universitys smooth
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.
OneUP is a strategic initiative under the
administration of President Alfredo E. Pascual.
It promotes change in the mindset
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.
It seeks to integrate, harmonize, and
interoperate Information and Communication Technology (ICT) systems and

infrastructure across the UP System.
This project is envisioned to bring the
University to new levels of academic and operational excellence, thus allowing UP

to be of greater service to the nation (eUP, 2012, About eUP).
Figure 1. UP Organizational Chart

Provided by the Office of the Secretary of the
University and of the Board of Regents (OSU), 2012.
8
Figure 2. The eUP core systems.

Reprinted from eUP Project by the University of the
Philippines System, 2015. Retrieved from
http://e.up.edu.ph/components/. Reprinted with permission.
As seen in Figure 2, no comprehensive records management system was
included in the core systems of the eUP Project. Only student academic, human
resource, financial management, procurement, campus management, and executive
information systems were the systems included in the project. It may not be too late
for the administration to consider a comprehensive component in managing the
records of the University. The study also aims to inform all the stakeholders of the
10
University about the importance of a harmonized records management in the smooth

business process of the University.
At the onset of the study, the researcher was able to unfold some of the
records management issues in the University.
These were based on the initial
interview conducted by the researcher during the development of a research topic.

All these issues are further discussed in Chapter IV.
Absence of a standard records management program. The state of the
records management of institutions may be viewed equivalent to the type of service
it offers. In UP, the absence of a standard records management program incites
various offices to use their own style of recordkeeping. Records managers usually
resort to developing their own master file, or by making their own records
description and file classification guide.
These efforts are not documented
University-wide, hence the existence of different practices on handling of records in

UP.
Ignorance on the benefits of effective records management program. Another
daunting issue of records management in UP is the mere lack of knowledge on the
importance of an effective records management program. Records managers are not
aware of the many benefits of effective records management, resulting to passive
record management practices.
They perform the task without commitment to
develop their skills and the program.

Hostile records managers. This ignorance oftentimes leads to hostile
relationship between records managers and their clienteles.
They associate
11
additional records management related tasks, specifically the records management

improvement strategies, as burden. They are not motivated to enhance their skills.
Confused records managers. The absence of a standard records management
program produces confusion over records managers throughout the University. This
leads to mishandling of records. Most of the time, records with enduring value are
discarded and those short-lived records are the ones kept. The University also has a
variety of ways in organizing the records. Subjects and indexes lists depend solely
on the judgment of records managers. This produces long and duplicating lists of
subjects and indexes in the University.
This confusion results to unworkable
reconciliation of the records throughout the University. Authority and accountability

over certain records are oftentimes ignored because records managers do not know
which office possesses the authority and responsibility to retain particular records.
Poor storage and retrieval practice. Aside from the failure to efficiently and
effectively organize records, the University also shows poor skills on records
retrieval and inadequate records storage facilities. The absence of standard practices
across the University makes it difficult to retrieve the right record at the soonest
possible time. Records retrieval becomes an arduous task for records personnel.
While inadequate records storage results to the Universitys poor handling of
records. Records personnel are confined to manage such voluminous records in
small storage areas.
Weak motivation to move forward. Activities promoting records management
and enhancing the skills of records managers are not part of the priority programs of
12
the University. Submission to an in-house records management policy, may it be

written/non-written, is not monitored.
Strict compliance to such policy is not
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.
Statement of the Problem

The study sought to assess the records management practices in UP. This
also included the measurement of UPs level of compliance with the relevant
provisions of the ISO 15489 and the RA 9470 done through a self-audit tool
(Appendix I-A).
Moreover, the following questions were addressed by this study:
a) What are the existing records management practices in UP? Is there a
prescribed program or system used by the units?
b) What are the specific provisions of the ISO 15489 and RA 9470 that UP
are able/not able to comply with? What are the possible reasons for noncompliance?
c) What are the tools used by UP units in dealing and assessing their
records/records management practices?
d) What are the issues confronted by the University in handling its records?
What are the possible solutions to address these issues?
13
e) Is there any effort to develop and standardize the current records

management practices? How ready is the University to standardize its
records management practices? What are the possible hurdles in
implementing said standardization?
What are the views of the
administrators, records managers/personnel and records clienteles in the

standardization of records management in UP?
Objectives of the Study

The following are the objectives of this study:
1. Enumerate the records management practices of the University and
identify the program and system used in managing its records.
2. Assess the current records management practices in UP using ISO 15489
and RA 9450 as tools. This covers most of the provisions of the two
regulations which are relevant to the University. The study also uncovers
the reasons for compliance and/or non-compliance of the campuses with
the regulations.
3. List the established tools of UP units in managing its records.
4. Enumerate and discuss the issues faced by the University in managing its
records.
5. Enumerate the efforts of UP to develop and standardize its records
management practices.
14
6. Analyze the perceptions and readiness of the University stakeholders in

standardizing its records management practices.
7. Propose a self-audit tool for use of the University.
Significance of the Study

This study is an addition to the growing number of researches on records
management in the Philippines. Specifically, it contributes in the assessment of ISO
15489 for implementation in the Philippine setting. The promotion of compliance
with RA 9470, as mandated by the law, is also highlighted in this study.
The self-audit tool, which is the output of this study, benefits Philippinebased institutions in performing audit and assessment of records management
program through international and national standards. The self-audit tool may also
be a good starting point for a more comprehensive audit tool for institutions in the
country with advance program on records management as the researcher was not
able to find a tool for Philippine-based institutions during the conduct of this
research.
More importantly, this study is most significant to UP. There are existing
researches on the records management in UP but focusing on certain units or
campuses only.
This study attempts to do a holistic analysis of the records
management practices in the University by involving top-level UP offices. The

records personnel of the University who were tapped to participate in the study were
given a chance to reflect on their recordkeeping practices through the conducted
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.
The standardized program based on
internationally and nationally accepted standards can significantly help the

University to better serve the Filipino people.
Lastly, the study also serves as reference material to other researchers,
administrators and records managers/personnel, who are dealing with the assessment
and audit of records management practices, and the implementation of ISO 15489
and RA 9470 in their institution.
Scope and Limitations of the Study

The subjects of the study included all constituent universities of UP, namely
UP Diliman, UP Los Baos, UP Manila, UP Mindanao, UP Visayas, UP Open
University and UP Baguio; UP Cebu, the autonomous college, and; the UP System
Administration (UPSA), the central administration. Only the head offices (Offices of
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
This chapter discusses the publications and literature on records management

in UP, standardization of records management, adoption and assessment of ISO
15489, and other relevant local and foreign studies to the study.
On Records Management in UP
The UP administration exerted efforts to study the records management in the
University.
One of the earliest documented efforts was through Administrative
Order No. 199, Constitution of Records Management Committee of UP, issued on 10

June 1974 by UP President Salvador P. Lopez. This committee was expected to:
1. Formulate and define a program for the disposition of official
records, and review the progress of the program;
2. Develop, publish and recommend standards and procedures for
the disposition of official records;
3. Develop and publish procedures for the survey of files and
review results of such surveys;
4. Develop, publish and recommend standards of classifying,
indexing and filing records;
5. Assist units, branches, offices, departments of the University of
the Philippines System in the development and maintenance of
classification and filing systems;
6. Prepare disposal schedules for records common to several or all
units of the University of the Philippines System;
7. Develop and administer a training program for records personnel
of the U.P. System;
8. Plan and develop a program for the records center to house
documents and papers which are to be preserved for a period of
time (retirement of records) but which need not be retained in the
units, branches, or offices of the University of the Philippines
System; and
18
9. Plan the transfer of all permanent records (archival material) to

the University Archives Section of the University Library. (UP
Gazette, 1974)
Another attempt was documented in 1977. It was initiated by President
Emmanuel V. Soriano through the help of his two Project Development Staff,
Placido M. Manalo, Jr. and Perfecto Padilla.
The report was completed on 4
November 1977 entitled Program Concept and Approaches in Improving Records

Management in UP (Granda, p. 14).
It is unfortunate that the researcher was not able to obtain copies of said
reports.
These would have been essential reference materials in analyzing the
records management practices in the University, particularly the implementation and

effectiveness of the proposed recommendations of these committees. However, the
researcher was able to obtain a copy of the report on records management of the
Management Review Committee Subcommittee III on Personnel and
Administrative Services, dated 6 October 1981. It was a committee created by the
Office of the UP Vice President for Planning and Finance (OVPPF). The committee
studied the status of the management of records in the UPSA. During this time, the
records of the administration were centrally managed by the Office of General
Services (OGS).
The findings of the committee were: (1) UP has voluminous
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
Recommendations of the committee involved the establishment of a common records

creation procedure throughout the University to regulate the fast growing number of
records, forms management, inventory of University records, transfer of OGSs
records holdings and functions to other offices to streamline the records processes in
the University, and to abolish OGS (Office of the UP Vice President for Planning
and Finance - Management Review Committee, 1981). OGS was abolished in 1983
(UP Gazette, 1983). This committee report manifested the records issues confronted
by the University as early as 1980s. These issues are also the same findings of this
study. This exhibits how UP has disregarded state of its records management over
the years.
In 1988, President Jose V. Abueva constituted another committee to draft
rules governing access to records and documents (UP Gazette, 1988). The report of
this committee is also inaccessible.
A few directives also cited the efforts of the University to standardize its
recordkeeping system. UP President Salvador P. Lopez issued Executive Order No.
11 in 1974 to designate the University Library as the Archives of the University.
This E.O. designated the University Librarian as ex-officio University Archivist.
This was further strengthened by Executive Order No. 13 making the University
Library as the University Archives and Records Depository to ensure the
preservation of documents, records, and publications of permanent value (UP
Gazette, 1974). In 1982, UP President Edgardo J. Angara through Memorandum No.
19 instructed all units of UP to furnish at least one copy of photographs generated by
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
perceived as an innovation on the present messengerial functions and duties of the

University (UP Gazette, 1976). Loyola (2001) described it as a system which
featured the use of a 9-digit alphanumeric code for every identified document, the
utilization of routing slips, and a creation of a central document tracking center. A
computerized DTS was later developed in 1999 which was employed in the Office of
the Chancellor of UP Diliman (as cited in Sueno, 2009). In contemporary years,
particularly in 2003, a Universitys in-house DTS named as DocuTrak was launched
in UP Diliman units. The system used barcode labels to track the documents routed
throughout the campus. This in-house system was again revisited and upgraded with
the emergence of eUP. The new UP DTS was launched in 2014 for use of all UP
units. It still uses the barcode label system but now supports documents attachments
and with additional fields such as revisions, updates and remarks; and now open for
use of the entire UP System (UP DTS Manual, 2014). Given the efforts to develop
the UP DTS over the years, UP should have been perfected the use of one standard
DTS within the University. The study proved this assumption otherwise.
The enumerated efforts of the University to standardize and improve its
records management serve as the researchers benchmark in assessing the current
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.
These studies gave the researcher a partial view of the records
management in UP.
All the cited studies further highlighted the poor state of
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
In 2009, Sueno assessed the in-house developed document tracking system

called UP DocuTrak. She argued that the development of the system was not done
in the context of UPs records management and it did not reflect UPs values,
culture, business activities, accountabilities, records needs and records use. The
holistic approach was not observed during the development of the system. Because
of these, the result of her assessment revealed that DocuTraks quality is below the
acceptable standard.
As mentioned earlier, the UP administration revisited this
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.
On Records Management Practices of Government Units and Other

Universities (Local/International)
Universities and government units here and abroad were also assessed by a
number of studies on records management. These studies situated UP in terms of its
current records management status and confronted records issues as compared to
other similar universities and local government units.
In 1981, Nofuente conducted a survey on the records management practices
of international institutions in the Philippines. Her study revealed that a number of
records personnel were mainly concerned with the filing practices only.
Other
records management functions were neglected. Records management was oftentimes

taken for granted by the staff and also by the top management of the institutions.
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.
Her study was
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.
She studied the records retention and
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.
He described the conditions, problems, similarities and
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.
This also gave the researcher a
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
recommended the improvement of the policies of the agencies based on ideal
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).
She attributed the personnel educational
background and skills to the quality of recordkeeping and archiving practice of the
NHA.
She also highlighted the development of appropriate and practical
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.
On the Assessment and Implementation of ISO 15489

Institutions around the world are starting to utilize the international standard
in their records management practices. Stephens (2001) opined that ISO 15489 is
the latest development in the global best practices movement that has been gathering
momentum during the past 15 years (p. 68).
McLeod (2003) investigated the initial reactions to and plans for using the
ISO 15489 from within and beyond the records management community.
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.
The paper served as a case study
discussing how the ISO contributes to the identification of gaps between best
29
practice, captured in the standard, and what is happening in reality in relation to

records management policies, programs, procedures and processes. The researchers
also provided recommendation for the improvement of records management in
China.
Oliver (2007) demonstrated that implementation strategies for ISO 15489
need to be tailored according to the needs of the organization to function flawlessly.
Oliver strongly suggested that for ISO to best serve the organization, implementers
must first understand the cultural characteristics of the organization, taking into
account their unique features as well as the broader cultural environment, including
societal legislative and standards frameworks. She also identified key factors to
consider in introducing a global standard and managing change associated with it:
(1) leadership of the implementation, (2) identification of benefits appropriate to the
values prevalent in the specific organizational environment, and (3) language and
communication issues.
These foreign studies guided the researcher in interpreting the ISO 15489 and
in analyzing the standard as the basis of the self-audit tool for this study.
Specifically, it greatly contributed on the appropriate approach in using ISO 15489
as an audit tool. The strengths and weaknesses of the ISO were considered for its
effective use as a self-audit tool. The researcher also provided these literature as
easy reference for future studies focusing on the implementation of ISO 15489.
30
On Records Management Audit

Crockett and Foster (2004) wrote an article on how to utilize the ISO 15489
as an audit tool for the records management practices. It examined the standard as
basis for auditing a records management program and provided tips on the data
gathering and report writing for an audit program. In addition, the Hardiman (2014)
through the NHS Business Services Authority provided a framework to conduct an
audit program. It gave a model on how to do an audit and what measures to be
considered for good records management practices. Also in 2015, the Health &
Social Care Information Centre also published a guide for regular programs of audit
that both demonstrates, and provides assurance of compliance with good practice
standards of records management.
All these literature on the records management audit serve as the model in
crafting a self-audit tool for use in this study. More importantly, the proper wording,
format and method of the tool were heavily based on these studies. The researcher
needed to consult a number of foreign literatures on the conduct of records
management audit because of the absence of an audit tool for Philippine-based
institutions.
Conceptual Framework of the Study

As discussed earlier, ISO 15489 requires the recognition of other regulatory
environment affecting the institution. Thus RA 9470 was considered in this study.
As a first step, the researcher examined and identified similar provisions of the ISO
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:
Some Provisions of RA 9470
Some Provisions of ISO 15489

Identification of regulatory environment
Design and implementation of a
records systems
Best practices in records management
processes (records capture,
registration, classification, access
and security classification,
identification of disposition status,
storage, use and tracking,
implementation of disposition)
Monitoring and Auditing
Establishment of records
/archives management
program/policy
Appointing a records officer and
defining responsibilities and
authorities
Training of records personnel
Establishment of a records and

archives office/unit
Creation of a Records
Management Improvement
Committee
Establishing an integrated records
creation program
Use of records management tools Setting the standards and criteria

for maximum utilization of filing
/ instruments
equipment and floor space
Documentation of records
Establishment of a centralized
management processes/Agency
receiving and releasing unit
records management manual
Establishment of Agency Storage
/ Mini Archives
Figure 3. Venn diagram of ISO 15489 and RA 9470

To integrate the two regulations, similar provisions were identified to avoid
redundancy in the methodology.
The unique provisions were analyzed for the
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
ISO 15489 and

RA 9470
Self-Audit
Tool
(Precrafted)
Survey
Questionnaire and
Interviews
Assessment,
Conclusions, and
Recommendations
University of
the Philippines
(UP)
Proposed self-audit tool

for UP
Figure 4. Schematic diagram on the assessment of UPs records

management practices
The methodology of the study is patterned according to the minimum

requirements of ISO 15489 and RA 9470. The conducted initial analysis of the ISO
15490 and RA 9470 helped in formulating the survey questionnaires and in crafting
the self-audit tool. The gathered data were assessed and then plotted to the self-audit
tool to determine the compliance rating of the University.
Conclusions and
recommendations on the current records management practices in UP were provided

after the thorough assessment and discussion of the gathered results.
33
As an output of the study, a self-audit tool for use of the University is

proposed. This tool, if used with strict and effective compliance, will surely help the
University in reviewing its records management practices and will ensure a common
standard throughout the UP units.
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
Document recorded information or object which can be treated as a unit (ISO

15489:1-2001, p. 3)
General records disposition schedule refers to a records control schedule governing
the disposition of specified recurring records series common to all
government agencies issues by National Archives of the Philippines (Official
Gazette, 2009, p. 1716)
Indexing - process of establishing access points to facilitate retrieval of records
and/or information (ISO 15489:1-2001, p. 3)
Metadata - data describing context, content and structure of records and their
management through time (ISO 15489:1-2001, p. 3)
Non-current records refers to files that deal with completed or adjourned business
not needed for action or reference in continuing agency transactions but have
continuing research or historical value to the government and public (Official
Gazette, 2009, p. 1716)
Preservation refers to all actions taken to retard deterioration of, or prevent damage
to cultural materials and controlling the environment and conditions of use
and may include treatment to maintain materials as nearly as possible in an
unchanging state (Official Gazette, 2009, p. 1716)
Records Center / Storage Area refers to an intermediate repository in which noncurrent records of various government offices are stored until they can be
destroyed or transferred to the National Archives of the Philippines (Official
Gazette, 2009, p. 1717)
36
Records creation refers to the (1) organizations operation wherein exchange of

written ideas between two sources occur; (2) act of controlling records and
retaining them in records keeping system; and (3) bringing the records into
existence as evidence of any administrative process (Official Gazette, 2009,
p. 1717)
Records disposition schedule refers to the listing of records series by organization
showing for each records series the period of time it is to remain in the office
area, in the storage (inactive) area and its preservation or destruction (Official
Gazette, 2009, p. 1717)
Records inventory is a detailed listing of the volume, scope, and complexity of an
organization's records, usually compiled for the purpose of creating a records
schedule (A Glossary for Archivists, Manuscript Curators, and Records
Managers, Society of American Archivists: Chicago, 1992, p. 19)
Records management refers to the managerial activities involved with respect to
the records creation, records maintenance and use, transmission, retention,
and records disposition in order to achieve adequate and proper
documentation of policies and transactions of government for its efficient,
effective and economical operation (Official Gazette, 2009, p. 1717)
Records management policy is an essential tool for supporting good corporate
governance and demonstrates your agency's commitment to effective records
management practices (National Archives of Australia - Policies, procedures
and guidelines, 2015, para. 1)
37
Records management improvement committee refers to a group of key officials

and employees designated by the head of the agency responsible for the
improvement of their records activities (Official Gazette, 2009, p. 1717)
Records management manual refers to a guide which contain the functions,
organizational chart of the records office, policies and standard operation
procedures on records management activities of an agency (Official Gazette,
2009, p. 1717)
Records office refers to an organizational unit responsible for planning,
developing, prescribing, disseminating and enforcing policies, rules and
regulations and coordinating agency-wide records management program
(Official Gazette, 2009, p. 1717)
Records officer refers to the employee responsible for overseeing the records
management program and providing guidance on adequate and proper
recordkeeping (Official Gazette, 2009, p. 1717)
Registration - act of giving a record a unique identifier on its entry into a system
(ISO 15489:1-2001, p. 3)
Retention period refers to the specific period of time established and approved by
the National Archives of the Philippines as the life span of records, after
which they are deemed ready for permanent storage or destruction (Official
Gazette, 2009, p. 1718)
Storage - A set of processes to ensure that records are protected, accessible and
managed in a cost-effective manner for as long as they are needed. This
38
includes facilitating retrieval and use (National Archives of Australia, 2015,

Glossary)
Tracking creating, capturing and maintaining information about the movement and
use of records (ISO 15489:1-2001, p. 3)
Transfer of records refers to the systematic movement of records out of high cost
space and equipment to less expensive storage area / records center (Official
Gazette, 2009, p. 1718)
University of the Philippines System (UPS) is the term used to include all units of
the University regardless of campus, function, and location
University of the Philippines System Administration (UPSA) refers to the central
administration of UP which includes the Office of President (OP), the offices
of the Vice Presidents (OVPs), Office of the Secretary of the University, and
the offices of the assistant vice presidents and directors under OP and OVPs
Valueless records refer to all records that have reached the prescribed retention
periods and outlived the usefulness to the agency or the government as a
whole (Official Gazette, 2009, p. 1718)
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.
This method also
provided a better understanding of the underlying reasons for such records

management practice. The study did not require full participation of the respondents,
thus, did not cause any delay or interruption in the daily business operations of the
institution.
The analysis of this study was divided into four (4) phases. The researcher
started the data gathering by requesting a list of documents from the respondents.
This list was the first part of the survey questionnaire (Appendix III-A). The second
phase was the actual data gathering through the survey questionnaire and interview
(Appendix III-B). Interviews were conducted to seek clarification and in-depth
discussion on certain survey questions. For UP Los Baos, UP Manila, UP Open
University and UP Baguio respondents, the researcher needed to serve the survey
40
questionnaire through one-on-one interview to help the respondents in answering the

questions.
Pictures were taken for actual appreciation of the results of the
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).
Population and Sample

The researcher was able to tap a total of 32 respondents.
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.
For offices with no official records personnel, the participation of the
personnel doing records management functions was solicited. The heads of unit
(University President, Secretary of the University, Chancellors, and Dean) were also
41
asked to answer a short questionnaire (Appendix III-C).
All heads of units
participated in the study, a total of 10 respondents. Selected records clients shared

their views on the issues of records management in UP.
Five records clients
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
literature/documentations, were the major research instruments used by the

researcher. As discussed in Chapter I, the researcher was able to do face-to-face
interviews and site visits to limited respondents because of financial and time
constraints. Only UP System, UP Diliman, UP Manila, UP Los Baos and UP
Baguio site visits were feasible. The researcher asked all possible help from other
respondents in taking pictures of the records room and patience during phone-call
interviews, in lieu of inability to do site visits.
The survey questionnaire for the main respondents was mainly adopted from
the studies of Buenrostro (2010) and Klc (2009). According to Buenrostro, her
questionnaire was patterned after Grandas (1981) study, ISO 15489 and RA 9470.
The researcher heavily relied on Kulcus study to capture the records issues in the
University.
Additional sections and questions were added by the researcher to
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.
Data are shown in tables with corresponding textual
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.
Profile of the UP Respondents

The researcher was able to tap 32 respondents to participate in the study. The
respondents are grouped according to the following categories: records officers,
personnel-in-charge of records, heads of units, and selected records clients, as shown
in Table 1.
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
The records officers and personnel-in-charge of records are the main

respondents of the study, with a total of 17 warm bodies. Only two respondents are
records officers, they are from OSU and UPLB-RMO. The researcher observed that
many of the subject units have no records officers, thus the inclusion of personnelin-charge of records group is deemed essential. The main reason for the absence of
records officer position in top-level UP units is mainly because recordkeeping tasks
are just additional assignments to the regular workload of the UP employees. The
main respondents were asked to answer the questionnaire which captured the actual
record management practices in UP (Appendices III-A and III-B).
The heads of units and selected records clients groups added significant
inputs on the common records issues in the University. Some recommendations
were sought from these groups to address the issues confronted by the University,
and to gather support towards the standardization of record management. They were
asked to answer the online survey questionnaires (Appendices III-C and III-D). A
total of 15 respondents were classified under these groups.
47
Table 2 lists the distribution of the 17 main respondents throughout the UP

System. The following units are well-represented: UP Los Baos with five, and two
respondents from each of the following units: UP Manila, UP Mindanao, and UP
Cebu. Only the UP System Administration (UPSA) and UP Los Baos have official
records offices. One of the respondents from UP Manila, the former records officer
of UPM-OC, is now detailed to another office but the Chief Administrative Officer
of UPM-OC requested to accommodate the inputs from said former records officer
for more in-depth analysis of the records management in UPM-OC.
Table 2
Distribution of Main Respondents by Unit
Main Respondents by Unit
Office of the President (OP)
Office of the Secretary of University and of the Board of Regents (OSU)
UP Diliman Office of the Chancellor (UPD-OC)
UP Los Baos Office of the Chancellor (UPLB-OC)
UP Los Baos Records Management Office (UPLB-RMO)
UP Manila Office of the Chancellor (UPM-OC)
UP Visayas Office of the Chancellor (UPV-OC)
UP Open University Office of the Chancellor (UPOU-OC)
UP Mindanao Office of the Chancellor (UPMin-OC)
UP Baguio Office of the Chancellor (UPB-OC)
UP Cebu Office of the Dean (UP Cebu)
Total
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.
Their position titles are
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
The background information on the educational attainment of the main

respondents are shown in Table 4. It reveals that only two respondents have formal
education on records management. These respondents are from OP and UPD-OC.
Table 4
List of Educational Attainment of Main Respondents
Highest Educational Attainment
Master in Public Administration
Master in Development Management
Master of Library and Information Science (ongoing)
Master of ASEAN Studies (ongoing)
MA Public Administration (ongoing)
BS Commerce
BS Economics
BS Business Administration
BS Business Management
BS Secretarial Administration
BS Management Accounting
Bachelor in Computer Data Processing and Management
Total
Frequency
1
1
2
1
2
1
1
2
3
1
1
1
17
Majority of the records personnel of the subject units earned degrees in

different fields of studies.
Although their degrees have no concentration on
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
management. This is the current trend in the Universitys recruitment of records

personnel.
Aside from educational background, the years of service in UP of the
respondents are presented in Tables 5 and 6. Table 5 shows their number of years of
service in the University while Table 6 presents their number of years as records
personnel.
Table 5
Distribution of Main Respondents by Years of Service in UP
Years of Service in UP
1-5
6-10
11-15
16-20
21-25
30-up
Total
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.
Staff turnover should be planned carefully to ensure
continuity of the established practices in records management.
Overview on the Subject Units and its Records Management

As discussed in the previous chapter, UP is composed of seven constituent
universities (CUs), one autonomous campus, and a central administration unit (UP
System Administration). This composition is reflected in the organizational chart of
UP, Figure 1. Additionally, as a general introduction on UP, it has around 60,000
52
undergraduate and graduate students with more than 5,000 faculty members. It
offers around 500 degree programs.
The University employs over 8,000
administrative personnel (UP System Budget Office [UPS-Budget Office], 2013).

This shows how vast the scope of University records, not only as a government
institution but also as the leading university in the Philippines. The breakdown of
these figures by unit is briefly discussed in Appendix II. Aside from the breakdown,
a brief narration of the history, description, mission and vision, and organizational
structures of each unit are described in said appendix. A discussion on the staffing
pattern of records personnel and the records units of each of the subject unit are
presented in the succeeding sections.
Office of the President (OP) UP System
The UP President has a single six-year term who is elected by the UP Board
of Regents (BOR), the highest policy making body of the University. As stated in
the Chapter I, the President is the chief academic officer, chief executive officer and
the head of the university faculty (RA 9500, 2008, Sec. 14).
The staff of the Office
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
The records management function of the office is mainly delegated to the

executive assistants of OP. An executive assistant is in-charge of the records of the
office who is supervised by the senior executive assistant. Almost all types of
records go in and out of the office but the primary records maintained by the office
are mainly on university governance policy.
Office of the Secretary of the University and of the Board of Regents (OSU) UP
System
The Office of the Secretary of the University and of the Board of Regents
(OSU) has 16 staff members, 15 are permanent staff (see Appendix II for the
organizational chart). The Secretary of University is tasked to keep the records of
the University as may be designated by the BOR (RA 9500, 2008, Sec. 15).
Additionally, OSU:
facilitates governance of the University through its work as the
secretariat and administrative arm of the Board of Regents and the
Presidents Advisory Council. It serves as the primary interface and
communication link between the top policy makers and executive
officers of the University on one hand and the diverse stakeholders
and resource providers of the University and the general public on
the other. Being the repository of Board policies and decisions, the
office may also be called upon to conduct or to oversee studies and
research on policy issues that require Board attention and action.
(OSU website, 2015)
Mandated as the repository of BOR policies and decisions, almost 90% of its
records consist of university policies and the issuances of the University Presidents
(like administrative orders, memoranda, executive orders and outgoing letters).
Managing these vital records is a records officer who performs the records
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.
More on this issue is discussed in the next
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
administrative officer of UPOU-OC is mainly in-charge of the records.

It was revealed that the Office has not disposed any of its record holding
since its establishment in 1995. This is the main cause of the records storage issue of
the Office. The respondent from the Office disclosed that they plan to renovate the
office and that a bigger space for records storage area is a main consideration.
Office of the Chancellor UP Mindanao (UPMin-OC)
UP Mindanao was elevated as a constituent university in 1998. Though it is
relatively young compared to other constituent units of the University, it already
faces a number of records issues. Because of these issues, the Chancellor constituted
a Records Management Team in 2014 to focus on the improvement of records
management in the campus. The output of the Team is expected in July 2015.
However, the researcher was not able to wait for the output of the Team due to time
constraints. The Teams output would have been a vital part of this study to beef up
the discussion on the Universitys efforts on the improvement of records
management.
58
In the Office of the Chancellor of UP Mindanao, records management is a

shared responsibility of the two administrative officers and a utility worker. One of
the administrative officers of UPMin-OC is a member of the constituted Records
Management Team.
Office of the Chancellor UP Baguio (UPB-OC)
Another young campus is UP Baguio. The Office of the Chancellor has three
staff members. One of these staff members is in-charge of the records of the office.
The UPB-OCs records personnel shared that their records section serves as
the records office of the campus. It is very important for her to keep every record
that has value not only for her office, but for the entire campus. She is also asked to
initiate the records management in other units of UPB. Given this situation, it is very
important that records personnel of the top-level offices of the University to have
adequate knowledge and skills on records management to avoid providing erring
practices.
Office of the Dean UP Cebu
The Office of the Dean of Cebu has three staff members. Two staff are incharge of the recordkeeping in the office. The respondents from UP Cebu shared
that every unit in the college has their own records storage areas. Every unit is
expected to manage their own records.
Like the respondent from UP Manila,
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.
The detailed discussion of the records management practices in UP is
provided in the next section.
The Records of the Subject Units

For more than a hundred years in existence, UP has definitely accumulated a
volume of records to support its continued presence and business operations. This
was also one of the findings of a committee in 1981 which was discussed in Chapter
II. This section introduces the nature of records that are being managed by the
subject units.
As discussed in the previous chapter, the study is limited to administrative
records only.
Administrative records are the common records managed by the
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
As revealed in Table 7, memoranda, administrative orders, correspondence

files, minutes of meetings, and policy papers are the most common record types that
the subject units manage. This pattern across the subject units is expected as these
records are the ones created by the offices and the common reference materials for
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.
This is to save up some space in their records storage areas.
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.
Records Management Practices in UP

The results of the data gathering on the actual records management practices
in UP are presented according to the listed records management processes and
controls in ISO 15489 as follows: records creation/capture, records registration,
records classification, storage and handling, access to records, use and tracking, and
implementation of disposition.
The documentation of the records management
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).
Said memoranda were disseminated
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
absence of a monitoring body on the compliance of each UP unit is a probable main

reason for such neglect.
Almost all units have an established system in assigning uniform title/code
for administrative issuances. A pattern on this uniform title/code system across UP
units is very apparent as reflected in Figure 5.
Figure 5. Samples of uniform titles/codes for creation of UP records
Top-level UP offices usually include the following elements to control the

creation of administrative records: type of record, initials of the head of unit, year
created, and the sequence number. This uniform titles/codes are listed in logbooks or
any equivalent control system to monitor the uniqueness of each administrative
issuance released by the office. This established coding system should be considered
in standardizing the records creation process in the University.
In addition, the respondents also shared that all their created records are
reviewed by the most senior staff and/or by the heads of units prior to release. This
practice is yet to be documented. It is also worth mentioning that none of the units
performs any high level records process at this early stage of records management
process, like adding notation for index, classification, and disposition schedule. This
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
tracking system (DTS) and computers-aided programs in their records registration

process.
Figures 6 and 7 show the different DTS programs used in the University. A
standard document tracking system (DTS) under the management of eUP Team was
rolled out for use of the UPSA units in 2013. President Pascual reinforced the
utilization of the UP DTS making sure that every UPSA unit uses the system. But
even with the issuance of such order, a number of units are still not using the system.
Strict compliance must be monitored by every head of UP units to ensure that their
records personnel are reminded of such directive. Units from other campuses use a
different DTS program. Like the in-house data tracking system of UPD-OC which
was developed in 2000. UPD-OC is now in the process of upgrading said system to
match the current trend in records management. UP Manila has also developed its
own Document Assessment and Training System (DATS) in 2012 which was at first
centrally managed by the Central Point of Contact (CPC) Office. The management
of the system was later on decentralized in 2014. UPLB also uses a different DTS
for records within the UPLB campus and at the same time uses the UP DTS for all
records coming in and going to the UPSA. UPOU, UP Mindanao, and UP Cebu are
now utilizing the UP DTS. The UP DTS and all other similar programs used by UP
units implement the use of barcodes to facilitate tracking. UP Visayas and UP
Baguio are still not utilizing any DTS program, even the UP DTS which is available
for use of every UP unit. The respondents from said units may be satisfied with the
logbook system, and are not aware of the benefits of using a DTS. Issuance of a
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.
UP DTS for all units of UP
UP Los Banos DTS
Figure 6. UP Document Tracking System (UP DTS) and UPLBs DTS
70
Figure 7. UP Manilas Document Assessment and Tracking System
Six out of the 11 subject units also utilize computer-aided programs in

records registration. OP and OSU make use of an electronic document management
system (EDMS) called Laserfiche Program (see Figure 8) in the registration of
created and captured records. This is a paid software which was pilot tested in
UPSA units. Discussions are ongoing about the possible adoption of the Laserfiche
into the eUP Project (A. Lagman, personal communication, 10 June 2015).
UP Manila and UPLB RMO also use computer programs like MS Excel and
MS Access in its records registration. MS Excel is used by UPM-OC to list down all
its created and captured records. This is an additional system used by the office
aside from the logbook and DTS.
UPLB-RMO also uses MS Access through a
database with pre-defined form to regulate the elements captured for records
registration.
71
Figure 8. Electronic document management system (Laserfiche)

used by OP and OSU
Table 11
Elements Captured by UP During Records Registration
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
/
/
/
/
In records registration, UP captures descriptions which can help in the

identification of the record once it enters the system. Seven out of the 11 subject
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.
This is a powerful tool that assist the conduct of the
institutions business processes and as well as the processes involved in records

management.
The following are the benefits of a well-established records
classification system: a) provides linkages between individual records which

accumulate to provide a continuous record of activity; b) ensures records are named
in a consistent manner over time; c) assists in the retrieval of all records relating to a
particular function or activity; d) determines security protection and access
appropriate for sets of records; e) allocates user permissions for access to, or action
on, particular groups of records; f) distributes responsibility for management of
particular sets of records; g) distributes records for action; and, h) determines
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
Table 12 shows that UPLB-RMO has the most comprehensive records

classification system which includes the types or forms of the record, the subject or
topic, the office or institution, the date or chronology, numeric or code category and
geographic grouping. It is the only unit with a formal file classification guide which
is included in its published Manual of Operations and Procedures (2004). UPLBRMOs system makes use of major, primary, secondary and tertiary classification. It
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).
Figure 9. UPLB-RMOs indexing and

cross-referencing system
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.
To formalize these functions, OSU and UPD-OC are
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.
The units have no plans yet in formalizing such important records
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.
Because recordkeeping is just additional work for the assigned records
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.
Also, seven out of
the 11 units have setup electronic storage devices as records storage.
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
/
/
/
/
/
/
/
/
Ready for Future Expansion

of Active Records
x
x
/
/
/
x
x
/
x
x
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.
OP and OSU shared that the
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.
UPLB-RMO is also requesting
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.
UPD-OCs records storage facilities
UPM-OCs steel cabinets

and records boxes
UPLB-OCs
records shelves
UPB-OCs steel cabinets with labels
UP Cebus
shelves for
active folders
UPLB-RMOs records boxes in wooden
shelves
OSUs records storage

area with other office
stuff
Figure 10. UPs records storage facilities and areas
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.
This includes disaster recovery plan that defines an
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.
The researcher observed that most of the records storage
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
Figure 11. Securing access to UP records

The respondent from OP shared that EDMS program used by the office needs
review in terms of access rights and restrictions. At present, all OP staff are sharing
one user account. The integrity of the records will be preserved if different user
accounts will be created with different access rights and restrictions. The University
is yet to renew the license of Laserfiche, thus UP cannot acquire support from the
software provider.
The eUP Team is in-charge of the program, but the OP
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.
But respondents also shared their
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
Figure 12. Forms used by UPLB-RMO for on loan records
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 release of confidential records is also a major consideration. Almost all

units have no clear guidelines on how to process requests concerning confidential
records. These sensitive records must be managed by the units judiciously to protect
the records personnel, the office and the entire University.
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 unfortunate that the electronic file of this list was
accidentally deleted during her computer upgrade.

Respondents from OSU, UPLB-OC, UPLB-RMO, and UPB-OC are
complying with the GRDS of NAP, agency RDS, and rules/guidelines approved by
the agency relating to records retention and disposition. All the other units shared
that records retention and disposition is based on their personal assessment and
experience.
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
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
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.
The records transfer form are also
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.
Figure 13. OSU records for transfer to the

University Archives and Records Depository (UARD)
91
Like OSU, ULPB-RMO has an established and documented transfer process

for non-active records. The guidelines are included in their manual of operations,
listing all the steps needed to accomplish the transfer. Figure 14 presents the records
transfer procedures of UPLB-RMO.
Figure 14. UPLB-RMOs records transfer procedure

Documentation of the Records Management Processes
Documentation of the established policies, practices and procedures is
another important consideration in records management. Documentation can address
various issues on the diverse practices throughout the University which facilitates
easy dissemination and review of the established practices.
It was frequently mentioned in the earlier sections that most of the subject
units have no documentation on how records are managed, except for UPLB-RMO,
OSU and UPD-OC. UPLB-RMO has Manual of Operations and Procedure which
was formalized in 2004. OSU and UPD-OC have drafted their manual of operations
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.
ISO 15489 suggests that institutions should comprehensively
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.
If only the University had strictly implemented the
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.
Other existing records management tools used in the
University are listed in Table 19.
93
Table 19
Records Management Tools Used by UP
Units
Records Management Tools
OP
Draft manual on use of EDMS, outdated master list of files and

folders, NAP GRDS
OSU
Draft manual of operation, file classification scheme, NAP GRDS
UPD
Draft records management policy, draft manual of operations, draft

manual on digitization of records, NAP GRDS, records inventory and
appraisal, various forms to document daily operations
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
Only UPLB-RMO has a formal manual of operations for records

management.
The manual of operations of OSU and UPD-OC are now being
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.
But according to the records personnel of the top-level offices of the
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
4. Develop a University Records Management and Archiving

Manual. (Memorandum No. SBC 2014-045, Concepcion, 2014)
In Chapter II, the researcher narrated the efforts of the University to review
the current state of the records management in the University, but those were in late
1970s. ISO 15489 suggested monitoring and auditing regularly at intervals agreed
and set down in the organizations records management policy (ISO 15489-2:2001,
p. 22) while RA 9470 specifically prescribed to conduct such procedure every 5
years. The constitution of a standing committee on UPs records management will
ensure regular monitor and audit.
Audit also helps the institution to deter the violation of any regulatory
environment and legislation on records management. Like for the case of UP, a
number of respondents (UPM-OC, UPLB-OC, UPV-OC, UPMin-OC, and UP Cebu)
stated that they are not aware that of records-related offenses are punishable under
the law. Article V of the RA 9470 states that:
a person who willfully or negligently damages a public records or
disposes of or destroys a public record other than in accordance with
the provisions of RA 9470 or contravenes or fails to comply with
any provision of said Act shall be deemed to have committed an
offense. (Official Gazette, 2009, p. 1728)
Moreover, Rule 15 of Article 15 states that said offenses are punishable by:
a fine of not less than Five Hundred Thousand Pesos
(PhP500,000.00) but not exceeding One Million Pesos
(PhP1,000,000.00) or be imprisoned for not less than five (5) years
but not more than fifteen (15) years and/or both fine and
imprisonment at the discretion of the court without prejudice to the
filing of administrative charges that would result to such public
officers perpetual disqualification from public service, and
forfeiture, in favor of the government of his salary and other lawful
income. (Official Gazette, 2009, p. 1728)
96
Compliance with the regulatory environment and legislation must be

considered to protect UP personnel and the University as well. Punishments for
records-related offenses are implacable for anyone to disregard the importance of an
effective records management. The disregard of the record personnel of UP on
records management monitoring and audit might be attributed to their ignorance of
the cited legal punishments. The conduct of training workshops for records
personnel will help in the dissemination of such important information.
Training
Training on records management is not only for personnel with
recordkeeping tasks, it covers all personnel of the institution with any kind of
responsibility for records. ISO 15489 suggests that institutions should have training
programs that promote wide understanding about records management functions and
its benefits. Tailor fitting of training program according to the needs of a particular
group or staff member ensures the effectivity of the training (ISO 15489-2:2001).
Having said this, pursuance of training programs mean that institution should
allocate budget for it. Inclusion of training programs in the annual budget of an
institution makes records personnel feel that they are valued, hence motivation to
enhance and develop their potentials are achieved.
NAP has been an active partner of every government units, as well as private
institutions, in training records personnel. One of the functions of the NAP is to
conduct training programs on records and archives management including the
establishment of an archival system of both public and private sectors (IRR of RA
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
personnel of UP have attended a series of trainings and seminars of NAP.

Respondents from UPLB-OC, UPM-OC and UP Cebu shared that since their
assignment to recordkeeping tasks, they have yet to attend any formal training on
records management. They added that basic training on handling records would
greatly help them in performing their record related tasks.
As for other units,
respondents delightedly mentioned that their administrators are very supportive of

their desire to learn. They also added that they plan to attend advance trainings on
management of e-records, current innovations and trends in records management,
and the likes. All the respondents expressed their inclination towards a regular
training schedule. Most of the time, they are sent to training only after a year or after
a few years because they wait until new training modules are offered.
It is also worth mentioning that in UP Diliman, trainings and interventions
are offered by the UP School of Library and Information Studies (SLIS) to share
their expertise on archiving and records management. SLIS is currently providing
assistance to the different units of UP Diliman by conducting trainings for the
records personnel and by improving the records management practices of the units.
This effort should be reinforced by the administration and replicated throughout the
campuses to initiate the establishment of a training program for UPs records
personnel.
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.
The training program coordinator will communicate the
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
Among the units with an established electronic records management

program, UPLB-RMO has the most comprehensive program (see Figure 15). This
digitization project started since 2011. It is manned by 6 contractual staff members
and supervised the senior records officers of UPLB-RMO. The budget is requested
annually from the Chancellor of UPLB upon submission of a progress report. Also,
this project is well-documented but not yet part of their manual of operations.
100
UPLB-RMOs electronic records manager program
Back-up systems for

UPLB-RMOs electronic records
General files cataloging system for UPLBRMOs records

Prepping process for records scanning
Figure 15. Electronic records management in UPLB-RMO

The program consists of the following procedures: grooming, scanning,
extracting, storing, and indexing. The office uses three heavy-duty scanners which
scans 500-800 pages a day. It also has the appropriate back-up system with five
external hard drives which are kept in their different records storage centers. Reports
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
Figure 16. The eOSU Project

The University should be wary about the implementation of electronic
records management as the number of records issues faced by UP in managing its
paper records might be carried to the electronic records as well. Before getting into
the full implementation of e-records management, the administration should first
focus on addressing the current issues on paper records.
Management of Archival Records in UP

After review and inventory of the records, the usual practice of the subject
units is to transfer all archival records to their respective libraries. The archival
records are usually arranged in a box with appropriate label, according to some
respondents. As a documentation of such transfer, offices make use of their own
version of a transfer list form.
103
As discussed in Chapter II, on 7 June 1974, President Salvador Lopez

designated the University Library as the Archives of the University which formalized
and standardized the handling of archival records of the University. This may be the
basis of the respondents for sending their archival records to their libraries. The
respondent did not mention this directive or any directive for such practice. As
mentioned earlier, the records created and captured by the subject units are
considered vital records as it serve as basis for major decision making in the
University. It is in this light that the records personnel of the subject units ask the
expertise of the librarians in managing such important records.
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).
104
The University achieved an overall compliance rating of only 13%. The

following units got the highest ratings: UPLB-RMO got 52%, OSU got 28%, and
UPD-OC with 17%. The rest of the subject units got less than 10% compliance
ratings.
It is also worth noting that 24% partial compliance rating was achieved by the
University.
UP may prioritize the fulfillment of the lacking requirements for
eventual compliance of these provisions. The review of UPs partial compliance

would help increase the compliance rating of the University.
The self-audit tool also highlighted the 63% overall non-compliance rating of
the University.
UPM-OC and UPV-OC yielded more than 80% non-compliance
which is very alarming.
This suggests that the UPs records management is in
distressing state, particularly in said campuses.

The following provisions are highly achieved by the UP units: use of logbook
or equivalent system to record all official records in chronological order with 100%
compliance; allocation of storage for non-current record with 73% compliance; and
for recently sending records personnel to a training program with 64% compliance
rating. Despite these high ratings, the earlier discussions revealed that UP units have
varying records registration practices, inadequate records storage and no established
training program for its records personnel.
Out of the 46 major provisions listed in the self-audit tool, UP failed to meet
7 provisions of the ISO 15490 and RA 9470. All units failed to comply with the
following provisions:
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.
Common Records Problems in UP

After presenting the current status of the records management practices in the
University, this section describes the perceived status of and difficulties on the
records management in UP. The results presented here are answers from the main
respondents, heads of units and selected records clients of the University.
Most of the heads of units answered that they are not satisfied on how the UP
units handle their records. The President of the University, the head of the entire
institution, also expressed his discontent about the records management practices of
the University. The chancellors of UP Diliman, UP Los Baos, UP Manila, and UP
Mindanao, as well as the Dean of UP Cebu also shared the same observation as the
Presidents. Only four heads (Secretary of the University, and the Chancellors of UP
Visayas, UP Open University and UP Baguio) said that they are satisfied on the
records management practices in UP. These feedback from the heads of units sustain
the findings of the earlier committees which highlighted the poor state of records
management in UP.
Shown in Table 24 are the perceived records issues of the heads of unit. Note
that only two heads said that they see no records issues in the University, particularly
in their offices, as compared to the four satisfied heads which is mentioned earlier.
107
Table 21
Perceived Records Issues Of Heads of Units
Units
Common Records Management Issues

Missing records; Misrouted records; Difficulty in
retrieving/accessing records; Skills of the staff
None
OP
OSU
UPD
Difficulty in retrieving/accessing records; Difficult prioritization:

"urgent" label used on nearly everything
UPLB
Missing records, Misrouted records, Difficulty in

retrieving/accessing records, Skills of the staff
UPM
Missing records; Misrouted records; Difficulty in

retrieving/accessing records; Skills of the staff
Missing records, Misrouted records, Difficulty in
retrieving/accessing records
None
UPV
UPOU
UPMin
Misrouted records; Difficulty in retrieving/accessing records; Skills

of the staff
UPB
Skills of the staff (at least some)
UP Cebu
Slow routing or lack of knowledge on current status of action taken

on records
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.
However, OP, UPM-OC, UPMin-OC, and UPB-OC confirmed that
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
records sought have been lost,

destroyed, or misarranged
records retrieval tools such as
inventories, indexes, and lists, are
inefficient
old records are not destroyed at the right
time
there are some hindrances to attaining
records
filing system is not efficient
Mean per unit
Mean
UP Cebu
UPB
UP Min
UPOU
UPV
UPM
UPLB RMO
UPLB
UPD
OP
Common Difficulties in Storage and

Retrieval of Records
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
Many respondents gave conservative rates for their perceived causes of

records issues. Many disagree that issues are due to superiors disregard of their
recordkeeping tasks. But a number of respondents agreed that the inefficiency of the
records management system, problematic retrieval of appropriate records, and the
problematic behavior of other workers aggravate the current records issues in their
offices (see Table 23). Only three units admitted that the listed entries are the
common causes of records issues.
None of the respondents shared a different
perceived causes of UP records issues.

All the five selected records clients of the University answered that they are
satisfied with UPs records management but expressed the presence of the following
records issues: hostile records managers/staff, absence of a standard practice, poor
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
Managers sometimes do not pay enough

attention to our work
Ineffective bureaucracy and slow
communication channels
Inefficiency of the records management
system used for formal communication
Retrieval of required records can be
problematic
Problematic behavior of other workers
Mean per unit
Mean
UP Cebu
UPB
UP Min
UPOU
UPV
UPM
UPLB RMO
UPD
OSU
OP
Perceived Causes of Records Problems
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.
Only UPLB-OC stated its dissatisfaction on the
Universitys handling of records.
111
Table 24
Perceived Status of Records Management in UP
The institution's administrative system is

operating without problems.
There are no communication and
coordination problems between managers
and their subordinate staff.
There are no communication and
coordination problems among the staff.
Administrative and legal regulations are
adequate to support the smooth running of
the work processes within your working
unit.
The records management system is effective
and efficient for formal communication,
legal requirements, and decision making in
my university.
Mean per unit
Mean
UPM
UPV
UPOU
UP Min
UPB
UP Cebu
UPLB RMO
UPD
UPLB
OP
Perceived Status of Records Management

in UP
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
In summary, the pre-identified records issues in Chapter I are confirmed to be

the same perceived records issues of the respondents of the study. The absence of a
standard records management program, ignorance on the benefits of effective records
management program, hostile and confused records managers, poor storage and
retrieval practice, and weak motivation to move forward are concomitant to the
major records issues in the University. The records personnel may be impartial to
the listed issues but still this impartiality tells that they could not agree that records
management in UP is running effectively and efficiently.
112
The following are the proposed solutions of selected records clients of the
University to address the current records issues:
Standardization of the records management practices.
Common tools like thesaurus, classification, indexes, and the likes,

should also be considered in standardizing the program.
Professional and permanent staff should handle the records/archives of

the UP units.
Records staff with proper training will surely help in the standardization
of records management practices.
Aside from the training of records personnel, training all the

administrators and other staff of the University will be a good approach.
Since eUP is now part of the business process of the University,

electronic
records
management
must
be
studied
before
full
implementation and should also be founded from the basic principles of a

sound paper-based records management program.
All these suggestions are considered in coming up with recommendations
laid out in Chapter V.
Support Towards a Standard UP Records Management Program

UP has been very active in standardizing some of its business practices
throughout its campuses. At present, the University has ongoing study to standardize
its diploma and grading system. It already launched the UP DTS which standardizes
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.
These are all in support of President Pascuals OneUP
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.
It also standardized the
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
UPLB-RMO also mentioned their initiatives to share their experiences in

standardizing the recordkeeping functions. They are tapped by UP Mindanao as
resource persons by the RMT to help them in formulation of the teams output which
is due in July 2015. The chief records officer of the RMO also shared that they also
went to UP Baguio, and plans to visit other campuses of the University as well. She
also added that they had tried to reach out to UP administration through the Office of
the Vice President for Administration to help the University in standardizing its
records management, but they have yet to receive any reply (A. Talatala, personal
communication, 30 April 2015). They plan to resend the letter but this time course
directly to the President.
In the formulation of a records management program for UP, the earlier
efforts to study and standardize records management in the different units must be
accounted. This is the reason why documentation is very important in this endeavor.
As required by ISO 15489, UP being a system of universities and college
should exert utmost effort to review the business operations in order to determine the
needs of the University in terms of records. The reports of the records management
committees in the past would have been a great help if only it was preserved and
made available for standardization efforts. The University should also put this effort
in its priority list to ensure completion and implementation.
The skills of the
records personnel, the implementers, should also be a consideration and their full
support and motivation should be solicited.
115
All the 32 respondents affirmed their support towards the standardization of

management of University records. Eight out of the 10 heads of units said that they
are willing to fund the standardization. Even the University President gave his
assurance to fully support such effort.
One of possible hurdles in the standardization of records management in UP
is the readiness and mindset of the UP stakeholders. An office or a committee must
be assigned to take the lead in this endeavor to ensure its success. In constituting a
committee, it is important that the records personnel, Universitys archivists,
librarians, and experts from the School of Library and Information Studies in
Diliman must be included as members. Another hurdle would be the reconciliation
of diverse records management practices in the University. This would not be a
problem if the practices are well-documented.
This is not an easy task and may take a number of years before UP could
craft the appropriate standard program for its records. Thus interim solutions may be
devised like the formulation of records management, conduct of University-wide
records inventory, and creation of standard guides in dealing with UP records. It was
also opined by the OSU respondents that the standardization may be initiated in one
office or campus first before the university-wide implementation. This will fasttrack
the
standardization
and
may ensure
greater
chances
of
success.
CHAPTER V
SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
After the presentation of results and analyses in Chapter IV, summary,

conclusions and recommendations on the current status of records management in
UP are laid out in this chapter.
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.
This low compliance rating was
supported by the number of issues raised by the stakeholders of UP.

In spite of the absence of a standard program, some UP records offices/units
have met a number of provisions of the ISO and RA. UPLB-RMO got 52%, OSU
got 28% and UPD-OC achieved 17% compliance ratings. These offices performed
well in managing its records compared with the other top-level offices in UP.
Reviewing and sharing the established best practices of these units throughout the
campuses will help achieve higher compliance rating and may also expedite the
standardization of records management in the University.
117
Principal Findings of the Study

On UPs Compliance with ISO 15489 and RA 9470
The self-audit tool measured UPs overall compliance rating with ISO 15489
and RA 9470 at only 13%. The highest compliance rating was achieved by UPLBRMO with 52%, followed by OSU with 28% and UPD-OC with 17%. The least
compliant units were UPV-OC and UPB-OC with 4% and UP Cebu with only 2%
compliance ratings.
In all the listed best practices in the self-audit tool, UP was able to achieve
100% compliance rating in only one aspect, particularly the use of logbook or
equivalent system in the registration of records.
UP also accumulated a total
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
Only two records offices were officially created in the University.
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.
These documents are deemed
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.
But in spite of this, effective management of University records is
oftentimes neglected. Directives relating to records management are not observed

and strict compliance is not monitored in all units of the University.
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.
Their records are also examined every year to
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.
But even with the presence of such tool,
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
offices, UPLB-RMO has the most sophisticated electronic records management

system which is also well-documented.
RA 9470 imposed the constitution of a Records Management Improvement
Committee in all government units but UP has not constituted a standing committee
on the management of its records. Some committee efforts were documented in
1970s to 1980s but none during the current and past administrations. However, UP
Mindanao has constituted a records management team (ad-hoc) in 2014 which will
provide output this July 2015.
On Records Issues Confronted by UP
One clear evidence of the poor state of UPs current records management is
the existence of records problems. The survey revealed that 6 out of the 10 heads of
units said that they are not satisfied on how the records personnel handle the
University records. They observed that records are sometimes missing or misrouted,
a number of records are difficult to retrieve and access, and the skills of the staff are
inadequate to address the records needs of the office.
One chancellor even
highlighted the difficulty of the records personnel in terms of records prioritization

as almost all records are labelled urgent.
Additionally, majority of the records personnel opted to provide neutral
answers when asked about these current records issues. However, some respondents
confirmed that they are experiencing issues on records storage and retrieval,
primarily because old records are not destroyed at the right time. A number of
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.
It was evident that UPs 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.
Although all respondents said that they support UPs
standardization of records management, some identified hurdles need to be addressed

first. The present capability of the records personnel will surely slow down the
process and the absence of a concrete basis for a standard records management for
UP is also one major hurdle in such endeavor.
Recommendations
As pointed out in the major findings and conclusions of the study, the
researcher recommends the following steps:
126
Document the Records Management Practices

The absence of documentation on the current records management in UP
makes it difficult to initiate the standardization and improvements. Securing and
monitoring of proper documentation of established practices in the University will
enable reconciliation of diverse practices and improvement of the existing practices.
These should be promulgated to all concerned staff and must be monitored for
compliance and appropriate preservation for future use. Preservation of all available
documentations should also be guaranteed by the University.
Establishment of Records System, Program, and Tools, and Monitor Compliance
Another important aspect that UP fails to address is the effort to establish a
standard system, program, and tools. Formalization of records system, and records
management program and tools for use of all records personnel ensures regulation of
the process. Regular review of these must be in place. The tools should be made
accessible to all the staff performing recordkeeping tasks. Records retention and
disposition schedule for UP records should also be a vital part of the records
management tools of the University.
The conduct of an overall review of the business operations and processes,
and record holdings of the University should be a consideration for a comprehensive
records system and records management program. It must also be noted that archival
management must be closely linked with records management. A pilot run may be
considered before the grand implementation to cut down the cost considering the
vast and diverse UP campuses and units. The constitution of a body to audit and
127
monitor UPs records management must also be considered, as mandated by RA

9470.
The University may opt to identify the office/official who will take the lead
in this endeavor. A team would also be a good option.
Plan for the Establishment of a Central Records Office for UP
As mandated by law, UP should pursue the creation of a central records and
archives unit. Manpower and budgetary commitment from the government should
be included in the proposal. This plan should be intertwined to the establishment of
records system and program.
Review the Current Staffing Pattern and Recruitment Criteria for Records Personnel
The study highlighted the poor staffing pattern of the University which is one
of the main causes of records issues. The records personnel are mainly accountable
for the recordkeeping function in the University. They should be permanent staff
members.
Change in records personnel staffing should be planned to avoid
interruption of the process. The establishment of a training program and designation

of a coordinator should be considered.
Provide Appropriate Records Management Facilities
Aside from manpower, facilities are another important aspects in records
management. It was discussed in this study that UP suffers from inadequate records
storage facilities. Given this, proper records storage areas should be addressed as
soon as possible to preserve the integrity of records.
It is ideal to have a common
record center for all in-active records of all UP units. While the plan for additional
128
records storage facilities is in the pipeline, the University should conduct a

comprehensive review of its record holdings to identify records for retention and
disposal/transfer. It would be helpful for every records personnel to be acquainted
with NAPs GRDS. The University should also work towards the creation of its
agency records retention and disposition schedule.
Specialization of Future Studies on UP Records Management
This study provided a holistic assessment of the records management in UP.
However, this study is limited only to administrative records and respondents were
from top-level offices.
Further studies focusing on each campus, records
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
Since 1970s, the earliest available
documentation on UPs records management, it has been an issue on how UP can

effectively manage its numerous records. But until now, a comprehensive effort is
still in vain.
The University should not disregard the poor state of its records management
as the continuous existence and leadership of UP as the only national university in
the Philippines would only be secured through the help of an effective program for
its records. UP must move forward and at the same time ensure the preservation of
its identity.
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University of the Philippines

Self-Audit Tool for Records Management
Objective: To provide an overview of the records management practices in UP as compared with the provisions of ISO 15489 and RA 9470.
Scope: Administrative record holdings of the top-level offices/records offices in UP
Methodology:Survey questionnaire, interview and site visit
Date:
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
Appointed qualified records officer/records custodian and archivist
Constituted a Records Management Improvement Committee
Established a comprehensive records management program
Has a records management policy adopted and endorsed at the highest

decision-making level and promulgated throughout the organization,
7 with schedule of regular review
8
UPB
OSU
Observance of regulatory environment related to records management

1 (e.g. ISO 15489, RA 9470)
Use of approved / established records management tools (e.g.
classification and filing guides, vocabulary controls, indexing,
2 allocation of number and code)
Has an official records and archives office / unit approved by NAP and
3 DBM
4
UP
Min
UPLB
UPM
RMO
OP
Has manuals of instructions/operations on records management
Designed and implemented a records system to carry out and support

10 the records management processes of the institution
Standardize the process in capturing records considering classification

and indexing, logical arrangement, registration in the records system
11 and metadata assignment
Average
Average
Average
Partial
NonCompliance
Compliance Compliance
0% 100%
73%
18%
Appendix I-A
Documented the responsibilities of each records personnel and all other

employees of the institution who perform tasked related to management
9 of records
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%
Access to records storage areas is restricted to prevent unauthorised

access, damage, theft or other catastrophic loss of records
36%
64%
0%
Provided rules on how to handle confidential files
0%
18%
82%
Has established finding aids in retrieving and accessing records
18%
73%
9%
Has tracking system for active records
18%
82%
0%
Has an established records loaning system
18%
18%
64%
Has rules in the proper turnover of records to successor/NAP
0%
0% 100%
9%
0%
OSU
UPD
UPLB
Established standard in registration of records
Has prescribed file classification system for uniform filing system
Established a centralized receiving/releasing and messengerial units

12 under the accountability of the records officer
Use of logbook or equivalent to record all official records in
13 chronological order
14
Established control system in records creation
Use of retention and classification codes as soon as the records is

15 created / captured
16
17
Has adequate records storage integrated with the overall records

18 management program
Storage areas allocated to hold physical records have adequate space to
19 accommodate anticipated growth
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
Has an established guidelines on records transfer compliant with NAP

29 rules
135
UPV UPOU
Average
Average
Average
Partial
NonCompliance
91%

30
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
Use of retention code (RDS/GRDS) before the records are filed
Has a disaster recovery plan for records
Developed clear rules in transferring records to archives
Separation of records for disposal from those for further retention as

31 suggested by NAP
Compliant with the General Records Disposition Schedule (GRDS) of
32 NAP
Uses an approved Retention Disposition Schedule (RDS) by NAP,
33 listing all records which are not found in the GRDS
34
UPLB
UPM
RMO
OP
Has an approved records inventory and appraisal schedule, at least once

a year, with full public accessibility
Conduct periodic examination of records at least once a year to identify
valueless records for disposal
Has records preservation and restoration procedures as consulted with
NAP
Has recently performed a self-audit / review of records management
practices
Has preservation program for archival records
Has an established system in managing electronic records
Has adequate digital storage for electronic records
Has necessary back-up systems for electronic records
Records management training is included in the organisations
Education, Training & Development Plan
45 Has recently sent records personnel to a training

There is provision for the regular review of training needs of personnel
46 in-charge of records
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
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%

Unit : UP Office of the President
Date:
01-May-15
Note: The best practices listed below are from the provisions of ISO 15489 and RA 9470.

1
Observance of regulatory environment related to

records management (e.g. ISO 15489, RA 9470)
Use of approved / established records

management tools (e.g. classification and filing
2
guides, vocabulary controls, indexing, allocation
of number and code)
Has an official records and archives office / unit

approved by NAP and DBM
4 Appointed qualified records officer and archivist

Constituted a Records Management Improvement
5
Committee
Compliance
Yes/No/
Partial
Evidence
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
GRDS, she admitted that she barely consult the
guide. She has a general listing of all folders in their
steel cabinets, as it is also available in the EDMS
program of the office. The office also has a draft
manual on the use of EDMS program.
No
No
Partial
Remarks
OSU manages the AOs/Memos/EOs issued by the

President. But these are not the only records that OP
creates and maintains. Because of this set-up, OP
decided to capture all records requirement of the
office for efficiency. All archival records are
transferred to the library.
It is suggested that the mandates of OSU Records

Unit be reviewed. The creation a records
office/center for UP System Administration (UPSA),
and evetually for the entire University, should be the
the ultimate goal.
Records management is an additional task of the
staff.
No
Has not constituted a standing committee for the

improvement of its records management. There were
ad hoc committees constituted in 1970s.
No
137

Established a comprehensive records
management program
Has a records management policy adopted and
endorsed at the highest decision-making level and
7
promulgated throughout the organization, with
schedule of regular review
6
Has manuals of instructions/operations on records

management
Documented the responsibilities of each records

personnel and all other employees of the
9
institution who perform tasks related to
management of records
Designed and implemented a records system to

10 carry out and support the records management
processes of the institution
Standardize the process in capturing records

considering classification and indexing, logical
11
arrangement, registration in the records system
and metadata assignment
Established a centralized receiving/releasing and

12 messengerial units under the accountability of the
records officer
Compliance
Yes/No/
Partial
Evidence
Remarks
No
Has no established records management program.
No
Has no records management policy.
Partial
In 2000, the senior executive assistant made a

compilation of guides on how to manage the records
in OP. This was documented but was not formalized
for approval. The guides need to be revisited.
Needs compilation and formalization of these guides
into a manual of records management function in OP.
There were also draft guide made for the
management of electronic records since the office
started its EDMS program in 2012.
No
Recordkeeping tasks are only reflected in the job

description/performance evaluation form of the staff.
No
Has not designed and implemented a records system.

This should be a collective effort of all UP units.
No
Records capture process is not documented. The

process depends on the practice of the records
personnel.
Partial
OP has a staff in-charge of receiving and releasing of

records. The OP staff in-charge of records supervises Documenting this practice assures continuity amidst
the receiving and releasing of records. But for
change in administration or change in work force.
UPSA, OSU is the central receiving/releasing unit.
138

13
Use of logbook or equivalent to record all official

records in chronological order
14 Established control system in records creation
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.
Aside from this code, the administration has issued

AOs to standardize the format of all UP
communications.
15
Use of retention and classification codes as soon

as the records is created / captured
16 Established standard in registration of records
Has prescribed file classification system for

17
uniform filing system
18
Has adequate records storage integrated with the

overall records management program
Remarks
No
OP is not keen in observing the retention and

disposition schedule as its records are mostly
convenience files and are just scanned copy of the
original. The original records are released to OSU.
Partial
The logbook system of the office captures the

following elements: subject/short description, sender,
and date of receipt. The UP DTS and EDMS also
provide template for capturing metadata of the
records.
Partial
In 2000, the senior executive assistant made a

classification scheme for OP records. This has been Review and document the process.
the manner of classifying and filing of OP records.
No
The records registration system is not documented.

Only created/captured vital records are assigned with
metadata upon registration for easy retrieval. Not all
records are also entered to the UP DTS/EDMS.
Establishing the system will standardize the process.
Since the UPSA has a records unit (OSU), many

UPSA offices have no allocated space for records
storage. Steel cabinets and shelves are placed in
139

Storage areas allocated to hold physical records
19 have adequate space to accommodate anticipated
growth
Compliance
Yes/No/
Partial
Partial
Established an Agency Storage / Mini Archives

21 for non-current records preparatory their transfer
to NAP
No
Has set standards and criteria to maximize filing

Access to records storage areas is restricted to

23 prevent unauthorised access, damage, theft or
other catastrophic loss of records
24 Provided rules on how to handle confidential files
No
Has established finding aids in retrieving and

accessing records
Partial
25
26 Has tracking system for active records
Steel cabinets, boxes, and shelves are the common

storage facilities for non-current records. OP has no
Most paper records are being converted to electronic
dedicated recods storage area/room. The records
records since 2012 to address the existing records
storage facilities are located in available spaces.
storage problem.
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
Has storage for non-current record integrated with

20
the overall records management program
22
Evidence
Because of the peculiar storage area, this makes the

records safe from any unauthorised access.
Has no standard/criteria to maximize filing

equipment and floor space.
Needs proper documentation.
By practice, release of any confidential record must
be approved by the President. This should be
documented.
Most paper records are converted to electronic

records. EDMS/Laserfiche is used to efficiently find A follow-up system must be integrated in the
program. OP has problems in tracking active
and track records.
records, those referred to other offices, as it lose
track of these records. Needs proper documentation.
140
27 Has an established records loaning system
28
Has rules in the proper turnover of records to

successor/NAP
Compliance
Yes/No/
Partial
No
No
Has no established rule.
Has an established guidelines on records transfer

compliant with NAP rules
No
30
Developed clear rules in transferring records to

archives
No
32
33
34
35
36
37
38
39
Separation of records for disposal from those for

further retention as suggested by NAP
Compliant with the General Records Disposition
Schedule (GRDS) of NAP
Uses an approved Retention Disposition Schedule
(RDS) by NAP, listing all records which are not
found in the GRDS
Use of retention code (RDS/GRDS) before the
records are filed
Has an approved records inventory and appraisal
schedule, at least once a year
Conduct periodic examination of records at least
once a year to identify valueless records for
disposal
Has records preservation and restoration
procedures as consulted with NAP
Has recently performed a self-audit / review of
records management practices
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
By practice, non-active and archival records are

transferred to the University Archives and
Records Depository (UARD), UP Main Library. The
office uses its own version of transfer list form.
There is no clear schedule and guide on OP's records
transfer.
No
Has no established practice.
No

GRDS, she admitted that she barely consult the
guide. RDS is not a concern for OP records personnel
as its records are mostly convenience files.
No
No
Not being practiced.
No
OP's last comprehensive records review was in 2000.
No
The office has no records disaster recovery plan.
When storage is almost full or during free time, the

records personnel examines the records to identify
valueless records.
No
No
The office has no program for this.
No
Has no records management audit plan.

141

40 Has preservation program for archival records
41
Has an established system in managing electronic

records
42 Has adequate digital storage for electronic records
Compliance
Yes/No/
Partial
No
Partial
Yes
Has necessary back-up systems for electronic

43
records
Partial
Records management training is included in the

44 organisations Education, Training &
Development Plan
Partial
Yes
46
No
There is provision for the regular review of

training needs of the personnel
Findings:
Yes
No
Partial
Evidence
3
30
13
OP records are now almost 80% electronic. The

electronic records are managed through the
Laserfiche Program.
Records personnel upon receipt of an invitation for a

training, request approval from their head to attend
such training. The administration seems supportive
of her plan to improve her skills on records
management.
Remarks
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

Unit :Office of the Secretary of the University and of the Board of Regents (OSU)
Date:1 May 2015

1
2
of number and code)
Compliance
Yes/No/
Partial
Evidence
Remarks
Partial
The records personnel is familiar with ISO 15489

and RA 9470. OSU's draft manual of operation is in
accordance with some of the provisions of RA 9470.
Partial
OSU has a file classification scheme/guide and RDS

which is according to NAP GRDS. This is included
in the draft manual of operations, awaiting the
approval of the President.

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
OSU has appointed a qualified records officer.

Committee

management program

No
Partial
143

7
8

management

9
Compliance
Yes/No/
Partial
Partial
Evidence
Remarks
OSU has a draft manual of operations which details

the records management procedures of the office.
The manual of operations must be finalized and

approved by the President.
The draft manual of operations lists only the

responsibilities of the records personnel.
A comprehensive documentation of the

responsibilities of each of the staff in OSU is
required.
Partial
Partial

No

11
Partial
The draft manual of operations briefly describes the

A comprehensive guide must be crafted.
different processes on records management in OSU.
Partial
OSU has a receiving/releasing unit. It receives and

releases all communications coming in and out of the
Office of the President (OP) and those addressed to
the BOR. It has pigeon hole shelving units to
This section of OSU must be reviewed to comply
systematize this function. It is supervised by the
with the provisions of ISO and RA.
executive assistant of OSU. The records officer is
not directly involved in the function of this unit.

records officer
Has not designed and implemented a records system.

This should be a collective effort of all UP units.
144

13


15
Compliance
Yes/No/
Partial
Yes
OSU maintains a logbook for all its records.
Remarks
OSU also uses UP DTS in records capture and
registration.
No
Needs proper documentation. This is yet to be

covered by the draft manual of operations.
No
OSU is not keen in observing the retention and

disposition schedule as most of its records are vital
records. According to the records officer, 90% of
their collection are vital records.
Partial
17

Yes
18

No

growth
No
Has storage for non-current record integrated

20
with the overall records management program
Evidence
Yes
The logbook system of the office captures the

following elements: subject/short description, sender, Needs proper documentation. This is yet covered by
and date of receipt. The UP DTS also provides
the draft manual of operations.
template for capturing metadata of the record.
OSU uses a File Classification Guide. It also assigns
cross-references and sub-heading to records for easy
retrieval.
OSU has limited records storage area at present. Steel
cabinets, shelves and boxes the common records
storage facilities in the office. To address the scanty
records storage area of the office, OSU started its
digitization project called eOSU.
It was observed that the records storage also serves as
The office has a records storage room for non-current storage forr other office stuff like clothes, office
records.
supplies, etc. In order to assure records preservation,
records must be kept in appropriate storage area.
145

to NAP
22

Compliance
Yes/No/
Partial
Evidence
Archival records are transferred to the University

Archives and Records Depository (UARD), UP Main
Library. The office has not transferred any record to
NAP or other government agency.
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

accessing records
Yes
OSU has index cards, electronic master file of

records with location, and EDMS/Laserfiche to find
and access records.
Yes
The office uses the UP DTS and logbook to track

active records.
Yes
OSU already digitized the UP Gazette and uploaded

in their website. Records which are not found in the
website can be requested upon submission of a letterrequest. OSU provides copy of the records with
stamp as proof that it was officially released by the
office.
25

successor/NAP
29
28
No
Remarks
No

be approved by the President or the BOR. This
should be documented.
These are not described in the manual of operations.
These should be included in the manual.
A follow-up system (reminder) must be integrated in
the UP DTS to avoid losing track of the records
referred to other offices.

146
Compliance
Yes/No/
Partial
30

archives
31

No
32

Yes

33 (RDS) by NAP, listing all records which are not
found in the GRDS
Partial
Evidence
Remarks

Records aging 10 years up are considered ready to be
transferred to University Archives and
transferred to the UP Main Library. The records for
Records Depository (UARD), UP Main Library. The
transfer are placed in a box with proper label. A
office uses its own version of transfer list form.
transfer list form is prepared as evidence of the
transaction.
NAP GRDS is used to the remaining 10% of OSU

records.
No
Has no established practice. Almost all records of

the office are considered vital records, hence
disposition is not practiced.
RDS is not a major concern of the office as most of

its records are vital records.

34
records are filed
No
Not being practiced. Almost all records of the office

are considered vital records, hence disposition is not
practiced.
35 Has a disaster recovery plan for records
36

No
Yes

37 once a year to identify valueless records for
disposal
No
Almost all records of the office are considered vital

records, hence disposition is not practiced. Records
are inventoried to identify records that are ready for
transfer. Records for transfer are digitized first to
keep a copy in the EDMS/Laserfiche.
No
No
No

39
38
OSU conducts inventory of records every year.
147

41

records
Has adequate digital storage for electronic

42
records
Compliance
Yes/No/
Partial
Partial
Yes

records
Partial

Development Plan
Partial

training needs of the personnel
No
43

46
Findings:
Yes
No
Partial
Evidence
Yes
13
20
13
Remarks
Documenting this effort will assure continuity amidst

change in administration or change in work force. It
OSU records are now 50% electronic. The electronic
is recommended to craft a manual for managing its
records are managed through the Laserfiche Program.
electronic records.
The project is called eOSU which is the priority
project of the current Secretary of the University.
OSU has one external hard disk as back-up system.
The office should have at least three back-up units.
The office plans to purchase additional external hard
disk.
management.

Notes:
28%
43%
28%
148

Unit : UP Diliman
Date:
01-May-15
Compliance
Yes/No/
Partial
Evidence
Remarks
Partial
It is recommended for UPD-OC to consider

UPD-OC acknowledges the following legislations:
RA 9470, NAP General Circular No. 1, NAP General international standard as it ensure a comprehensive
Circular No. 2, and RA 6713.
and globally accepted records management program.

2
of number and code)
Partial
The records officer uses the following tools: records

management manuals, RDS, accession authorization,
file classification guide, index, records inventory,
vocabulary control, documentation on records
destruction, vital records inventory, and
documentation on in-house digitization program.

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


Committee

management program
The records officer is not holding a records officer

Creation of records officer plantilla item/s may be
plantilla item, though his job description is mainly on requested from DBM upon approval of UP records
records management.
office.
No
Partial
According to the records officer, many of the tools

are still in the draft stage. The approval of these
tools will further strengthen their plan of formalizing
their records management program.
UPD-OC has an established program which needs

further review to capture all aspects of its records
149

Needs review and formalization.

7
8
management
9

11

records officer
13

Compliance
Yes/No/
Partial
Evidence
Remarks
Partial
Has a draft policy.
Needs approval.
Partial
UPD-OC has a draft policy which needs to be

translated into a manual.
Needs formalization.
UPD-OC has a documentation of responsibilities of

each records personnel and other OC staff which is
part of the draft records management policy.
Needs formalization and promulgation.
Partial
The general records capture process is part of the

policy. The office uses DTS to capture records.
The process must be elaborated. This should be

included in the records management policy and
manual of operation of the unit.
Partial
UPD-OC serves as the main receiving and releasing

unit in UP Diliman. The records officer is not
directly involved in the operation of this unit.
The records officer should supervise this function.

This should be reviewed and should be documented
comprehensively for any future development.
Partial
No
Yes
Partial
The UPD-OC staff who is in-charge of the

receiving/releasing area maintains a DTS which is
more efficient than the logbook system.
Designing and implementation of records system

must be a collective effort of all UPD units. An
efficient records system must include all business
processes of the campus.
UPD-OC also uses an in-house DTS and other

computer-aided system in records registration.
There is a established system but some areas need to

be documented. All issuances of the Chancellor are
Needs review and inclusion in the records
controlled through the use of letter-number codes and
management policy and manual of operation of the
policy on formats. The executive assistants and the
unit.
Chancellor review all outgoing communications prior
to release.
150

15


17
18


growth
20
to NAP
22

Compliance
Yes/No/
Partial
Partial
Partial
Partial
Yes
Partial
Yes
Partial
Partial

Partial
Partial

accessing records
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
unit to standardize the process.
Needs formal documentation and for inclusion in the

records management policy and manual of operation
of the unit.
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.
With the newly renovated office of UPD-OC, records

storage was given enough space.
According to the records officer, they are only 60%

ready.
With the newly renovated office of UPD-OC, records
storage was given enough space.
RDS must be strictly implemented to ensure adequate

records storage.
Needs documentation and formalization.
Needs review and formalization for inclusion in the

UPD-OC has a draft standard and plan in maximizing
its filing equipment and floor space.
of the unit.
Guidelines in records access and safeguard should be
The storage areas are strategically located in safe
crafted and formalized. For inclusion in the records
place.
unit.
The executive assistant and the Chancellor give the To protect the records and the UPD-OC, the rule in
authority to release a confidential records as
handling confidential records must be established
mentioned in the draft records management policy of (part of the guidelines in records access and
the unit.
safeguard).
The in-house DTS program of UPD-OC serves as the
most efficient way in finding a record. The software Needs review, upgrading and formal documentation.
These practices must be included in the records
needs upgrading to add more features.
151
Compliance
Yes/No/
Partial
Partial
Partial

successor/NAP
29
28
30

archives

32
31

found in the GRDS
34

records are filed
36

Evidence
Inventory of records, computer-aided program and
compiled guides are also used by the office.
Has no established rule. Archival records are

transferred to the University Archives and
Records Depository (UARD), UP Main Library.
No
No
Yes
Partial

unit.
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
Has a guideline but needs formalization. The office

uses its own version of a transfer list form.
The crafted RDS of UPD-OC is compliant with NAP

GRDS.
Has an RDS developed by the records officer. But
still needs approval of the Chancellor and NAP.
No
Needs formal documentation and inclusion in the

of the unit. Archival records are transferred to the
University Archives and
Records Depository (UARD), UP Main Library.
Needs formalization and approval of the Chancellor

and NAP. Also for inclusion in the records
management policy and manual of operations of the
unit.
Not being practiced.
No
Yes
Document the process and secure approval of the

Chancellor. The inventory and appraisal must also
be submitted to NAP. This is for inclusion in the
of the unit.
The records officer is conducting inventory and

appraisal every year. This is the practice but needs
approval to institutionalize.
152

disposal
38

Compliance
Yes/No/
Partial
Yes
Partial

No
No
39
41

records
Partial

records
Partial

43
Yes

Development Plan
Partial
Yes
46
No

training needs of personnel in-charge of records
Findings:
Yes
No
Partial
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 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.
UPD-OC has already developed a system for its

electronic records.
management.
Needs further development and formal

documentation. For inclusion in the comprehensive
records management program of UPD-OC.

Notes:
17%
22%
61%
153

Unit : UP Los Banos
Date:
01-May-15
Evidence
Remarks
No
The records personnel is not familiar with any

legislation on records management.
No
Almost all practices of the office are not

documented. The records management is dependent
on the pratice of the AO and the records personnel.

Partial
UPLB has a records office (RMO) but it fails to serve

as the central records office of the campus. As
shared by UPLB-RMO, many offices fail to give
them copies of their vital records, particularly the
Office of the Chancellor which is the heart of all
operations in the campus.
No

Compliance
Yes/No/
Partial

2
of number and code)

5
Committee
6

management program
Records management is an additional task to the staff

of the office.
No

No
154

7
8

management

9
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
Has no compiled manual of instructions/operations.
No

No

must be a collective effort of all UPLB units. An

11
Partial

records officer
This is just a basic system which do not address the

complexity of the records that the office manages.
UPLB has an in-house DTS which is used to capture,
Aside from this, UPLB-OC also uses the UP DTS for
register and track (with barcodes) the records of all
records coming from and going to the UP System.
incoming and outgoing communications of UPLB.
UPLB OC is using two different DTS in managing its
records.
Partial
This should be the function of UPLB-RMO which is

Needs review.
not maximized by the campus.
13

Yes
Partial
The records personnel maintains two DTS, one for

UPLB records, the other one is for records going to
and coming from UP Systsem.
All memos, AOs and outgoing issuances of the
Chancellor are controlled through letter/number
codes. This control codes are listed in logbooks.
These issuances are reviewed by the AO and the
Chancellor prior to release.
155
The use of these systems should be documented. It is

ideal to have only one DTS in place.
This system must be properly documented.

15
17
18

Compliance
Yes/No/
Partial
Evidence
No
Partial
The records personnel maintains two DTS, one for

UPLB records, the other one is for records going to
and coming from UP System.
No
No

20
Yes
Records for filing are compiled on the side table of

the records personnel for filing within the day. No
codes or notes is assigned to the records upon receipt
or filing.
The use of these systems should be documented. It is
ideal to have only one DTS in palce.
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.
Active records are filed in the steel cabinets inside
the office. Almost all cabinets are full. Boxes are
placed on top of the cabinets and tables to
accommodate increasing numbers of active records.
No

growth
Remarks
Non-active records are filed in the storage room

which is also almost full. Records retention and
disposition must be strictly observed to address this
issue.
As per records personnel, their storage room is soon

to be renovated. The new storage room will be
located near the office.

to NAP
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

accessing records
Partial
25
28

successor/NAP
Partial
Evidence
Remarks
Steel cabinets, boxes and the storage area are not

accessible to any non-UPLB-OC staff, this makes the
records safe from any unauthorised access. Only the
Chancellor, AO and the records personnel has access
to these facilities.
be approved by the Chancellor. To protect the
records and the UPLB-OC, rule in handling
confidential records must be in place.
The DTS is the most efficient finding aid of the
office. If not found in the DTS, the records
personnel rely on her knowledge of the files.
Alternative finding aids should be devised.
The records personnel also shared that records from

earlier years to 1998 are difficult to manage. There
were no system used by the office during that time,
negatively affecting the current management of
records. Needs documentation.
No
The records personnel shared that most of the units

call her to request for records. As a practice, she
provide the requestor a photocopy of the record to
avoid record loss. Establishment of a loaning system
will prevent lost records, and to save on papers, too.
No
No established rules.
29

No
By practice, non-record materials, like publications,

magazines, etc., are sent to the library or RMO.
30

archives
No
Due to lack of time, records personnel barely review

the records for possible disposition.
157

31

32

Compliance
Yes/No/
Partial
Evidence
Remarks
As shared by the records personnel, they are not
disposing any record yet.
No
No

found in the GRDS
No
The records personnel conduct disposition upon

instruction of the administrative officer. This
practice is solely dependent on the knowledge of the
personnel about the records.
34
No
Retention codes are not identified before filing.
No

records are filed

36


disposal
38
39
41
records
No

No
No
No
No
43
No

Development Plan
Has no program for this.
No

records
The office has not done any records ineventory and

appraisal. This pratice should be initiated by the
RMO.
No
With the implementation of eUP, the office is now

starting to learn on and work with electronic records.
The records personnel shared that she is yet to attend

any records management training, even basic records
No
158
Compliance
Yes/No/
Partial

No

No
46
Findings:
Yes
No
Partial
3
36
7
Evidence
Remarks

Notes:
7%
78%
15%
159

Unit : UP Los Banos RMO
Date:
01-May-15

1


2
of number and code)
Compliance
Yes/No/
Partial
Partial
Yes
Evidence
UPLB RMO acknowledges RA 9470 in its records
management.
Yes
UPLB has an established records office called

Records Management Office.
Yes
UPLB RMO has an appointed records officer. Most

of its staff are holding records officer positions.

5
Committee
Consideration of international standards can ensure a

comprehensive and globally accepted records
management program.
The records officer uses the following tools: records

classification scheme, index, records inventory and
appraisal, GRDS, agency's RDS, retention codes, file
classification guide, requisition and charge-out
procedures, records management manual, and
number/code allocation.

Remarks
The office fails to fullfil its mandates because many

office don't include them in the loop in managing
their records. As shared by the records officer, many
offices fail to give them copies of their vital records,
particularly the Office of the Chancellor which is the
heart of all operations in the campus.

No
160

management program
7
8
management
9
6

11

records officer
13

Compliance
Yes/No/
Partial
Evidence
Partial
UPLB has no comprehensive records management

program, but UPLB RMO has an approved manual of
operations (2004) which can be a good starting point
for the crafting of a records management program for
the entire campus.
Partial
Yes
Yes
The responsibilities of each records personnel in

UPLB RMO are documented in the office's Manual
of Operations and Procedures.
No
Yes
Partial
Yes
Remarks
Through the use of an Automated Document

Management System (ADMS), the office is able to
include records properties and descriptions upon
capture.

must be a collective effort of all UPLB units. An
UPLB RMO should be the central receiving and

releasing unit of the campus. But UPLB-OC has its
own receiving/releasing office. According to UPLB
RMO, not all UPLB units receive and release their
Needs review of this function.
records through them. They provide messengerial
services for records coursed through them. Their
mailing services require availing units to fund
operations, this service is not part of RMO budget.
UPLB RMO uses logbooks, ADMS and computeraided system to register records.
161

15

Compliance
Yes/No/
Partial
Partial
Partial
Yes

Yes
17

growth
20
18

to NAP
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
UPLB RMO manages almost all types of records in

the campus (administrative, academic, human
resources). Non-active/archival records of these
types are managed in their records areas.
Having 4 records areas, UPLB RMO has already
acquired standards in maximizing filing space.
Yes
The storage areas are strategically located in a safe

places.
Partial
The Records Officer gives the authority to release a

confidential record.

accessing records
Yes
25
UPLB RMO uses the following finding/tracking aids:

index cards, inventory of records, compiled guides,
ADMS, and knowledge of the files. These are all
162
Remarks
Needs review and formalization, for inclusion in the
records management manual.
Needs documentation and for inclusion in the records

management manual.
The records personnel admitted that their records

storage is now limited. They currently have four
records areas. They have a pending request for
another records area to address the issue.
No plans yet of transferring records to NAP or any

government agency.
Needs review and documentation for inclusion in the

records management manual.
Records access of non-staff members are detailed in
the manual.
To protect the records and the UPLB RMO, the rule

in handling confidential records must be in place and
for inclusion in the records management manual.
Compliance
Yes/No/
Partial
Yes
Yes
28

successor/NAP
No
29

Yes

archives
31
32
found in the GRDS
30
34

records are filed

36
disposal
38
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.
Transfers are conducted from the main UPLB-RMO

office to one of its records centers. This is detailed in
the manual, procedures are also clearly stated.
No
The RRDS of UPLB is compliant with NAP GRDS.
Yes
Has an RRDS developed by the unit and with

approval of the Chancellor.
Yes
Before filing, UPLB-RMO assign not only RDS to

the records but also cross-references and indexes.
Yes
Yes
Needs formal documentation and for inclusion in the

manual.
Yes
No
Remarks
The records officer is conducting inventory and

appraisal every year.
The records officer conduct a periodic examination

of records every year.
No
Has no established procedure.
163

39


41

records
Compliance
Yes/No/
Partial
No
Partial
Yes
43
Yes
Partial
Yes
No
24
11
11
Remarks
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

records
Development Plan
46
Findings:
Yes
No
Partial
Evidence
UPLB-RMO has started managing electronic records

through the ADMS. This section is manned by
It would be helpful if the staff members in-charge of
contractual staff. Funding for the project is requested the project are in permanent positions to ensure the
annually through submission of an accomplishment continuity of the program.
report. The system and the process are documented.
of their plan to improve her skills on records

Notes:
52%
24%
24%
164

Unit : UP Manila
Date:
01-May-15
Evidence
Remarks
No

2
of number and code)

No
Almost all practices of the office are not documented.

The records management is dependent on the pratice
of the AO and of the records personnel.

No
There are plans to establish a records office in UP

Manila. To start it off, a central receiving/releasing
unit for all UP Manila communications called
Central Contact Point (CPC) was established 2012.

Compliance
Yes/No/
Partial

5

Committee

management program
7
6

of the office. The eventual creation of the records
office may secure records officer/personnel plantilla
items.
No
No
No
No
165

8

management

9


11

records officer
13
Compliance
Yes/No/
Partial
Evidence
Remarks
No
Though the chancellors of UP Manila issued various

memoranda on records management implementation,
there is no available manual for use of the records
personnel.
No

No

must be a collective effort of all UPM units. An
The implementation of a centralized
receiving/releasing unit is just one aspect of records
management. UPM should address all aspects of
records management to ensure smooth business
processes.
Partial
UP Manila has a Document Assessment and

Tracking System which is used to capture, register
and track (with barcodes) the records of almost all
incoming and outgoing communications in UP
Manila.
Yes
The UP Manila has a central receiving/releasing unit

called CPC supervised by a records officer.
Yes
The records personnel maintains logbooks and DTS.
Partial


Chancellor are controlled through number/letter
codes. These are reviewed by the Chancellor and the
AO prior to release.
166

15


17
growth
18
20

Compliance
Yes/No/
Partial
No
Partial
No
No
Yes
No
22
No


Manila.
No

to NAP
Evidence
Yes

which is almost full.

accessible to any non-UPM-OC staff, this makes the
to these.
167
Remarks
Records for filing are compiled on a side table of the
records personnel for filing during free-time. No
or filing.
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

Records retention and disposition must be strictly
observed to address this issue.
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.
Compliance
Yes/No/
Partial
No

accessing records
Partial
25
28
29
30
31
32
33
34
35

successor/NAP
archives
found in the GRDS
records are filed
Partial
Evidence
The DTS is the most efficient finding aids of the

personnel rely on his knowledge of the files.

Manila.
Remarks
records and UPM-OC, the rules in handling
Aside from DTS, other finding aids should be
devised. Needs documentation.
Needs documentation.
No

call him to request for records. As a practice, he
provide the requestor a photocopy of the record to
avoid record loss. Establishment of a loaning system
will prevent lost records, and to save on papers too.
No
No

magazines, etc., are sent to the library.
No

No

instruction ftom chief administrative officer. This
practice is solely dependent on the knowledge of the
personnel on the records.
No
No
No
No

168
Compliance
Yes/No/
Partial

36


disposal
38
39
41
records
No

No
No
No
43
No

Development Plan
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

records
Evidence
4
37
5

The records personnel shared that he is yet to attend
Notes:
9%
80%
11%
169

Unit : UP Visayas
Date:
01-May-15

1


2
of number and code)
Compliance
Yes/No/
Partial
Evidence
Remarks
No
The records personnel shared that she uses a records

classification scheme. But almost all practices of the
office are not documented. The records management
is dependent on the pratice of the AO and of the
records personnel.
No

3
No
The UPV-OC serves as the main records office in the

campus. There should be an organic records office to
comply with RA 9470 and ISO 15489.
No

of the office.
No

5
6

Committee
management program
No
170

7
8
management
9


11
records officer
13
15
Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
No

No

must be a collective effort of all UPV units. An
Partial
Partial
Yes
Partial
UPV-OC uses logbook to capture records. This

system is limited to processing of title,
author/recipient, and date of receipt/release, and
action taken of the records.
UPV-OC serves as the main receiving/releasing
office in the campus as it process almost all types of
records. There is no records officer in the office.

The system needs review and proper documented.
UPV-OC uses logbook to capture records.

codes. These issuances are reviewed by the
Chancellor and the AO prior to release.
No
171

Records for filing are compiled on side table of the
records personnel for filing during free-time. No
or filing.

17
growth
18
20


to NAP
22
Compliance
Yes/No/
Partial
Partial
UPV-OC uses logbook to capture records. This

system is limited to processing of title,
author/recipient, and date of receipt/release, and
action taken of the records.
No
No
No
Yes

which is also almost full.
No
No
Partial
No

accessing records
No
25
Evidence

accessible to any non-UPV-OC staff, this makes the
to these.
172
Remarks
According to the records personnel, she uses a
classification scheme in managing records but not
documented. Thus, further enhancement cannot be
Active records are filed in the steel/wooden cabinets

inside the office. Almost all cabinets are full. Boxes
are placed on top of the cabinets and tables to
The storage room cannot be considered as miniarchives. UPV-OC has not planned any transfer of
non-active records to NAP or any agency.

records and the UPV-OC, the rule in handling
The records personnel rely on her knowledge of the
files. Finding aid should be devised for use of the
office.


successor/NAP
29
28
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

mostly provide a photocopy to prevent record loss.
These requests are all listed in a logbook.
Establishment of a loaning system will prevent lost
records, and to save on papers too.
No
No
30

archives
No
31

No
32
33
34
35
36
37
38

found in the GRDS
records are filed
disposal

instruction from the administrative officer or the
Chancellor, or as the need arises. This practice is
solely dependent on the knowledge of the personnel
on the records.
No
No
No
No

appraisal.
No
No

No
173

41
records
39
Compliance
Yes/No/
Partial
Evidence
No
Remarks
No
No
43
No
As per records personnel, their office is not yet ready

for electronic records.

records
No

Development Plan
No
No

No
46
Findings:
Yes
No
Partial
2
38
6

Notes:
4%
83%
13%
174

Unit : UP Open University
Date:
01-May-15

1

Compliance
Yes/No/
Partial
Partial

3
No
No

Committee

management program
7
Remarks
The records officer is familiar with RA 9470 but the
provisions are not implemented in their records
No

2
of number and code)
Evidence
UPOU-OC is using a file classification guide.
This is just a listing of all the folder/cabinet drawers

the office has. No other tool is used.
UPOU has no records office. Each office manages
its own records. There is a plan to establish a records
center in UPOU but because of the dearth in plantilla
items, this plan is kept in the pipeline.
of the office.
No
No
No
175

management
9

Compliance
Yes/No/
Partial
No

No

must be a collective effort of all UPOU units. An
Partial

records officer
Partial

15

Remarks
No

11
13
Evidence
Yes
Partial
Partial
Partial
UPOU-OC uses logbook and UP DTS to

capture/register/track records. This is the general
practice that needs to be reviewed.
UPOU-OC serves as the main receiving/releasing

office in the campus as it process almost all types of
records. There is no records officer in the office.
The main messengerial function within the campus is
assigned to the HRDO.
capture/register/track records.


codes. These are reviewed by the Chancellor and the
AO prior to release.
The records officer/AO gives intructions to the
records personnel (through written notes) on the
classification, index, and retention for few select
records of the office. This is not performed for all
the records.
176

Compliance
Yes/No/
Partial
17

18

No

growth
No
20
Has storage for non-current record integrated

with the overall records management program
Yes

to NAP
No
22
No


Partial
Partial
No

accessing records
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.

inside the office. Almost all cabinets are full. Boxes
are placed on top of the cabinets and tables to
But UPOU has plans for new building which can
accommodate a new records storage.
which is also almost full.

The storage room cannot be considered as miniarchives. UPOU-OC has not planned any transfer of

accessible to any non-UPOU-OC staff, this makes the
to these.

177


records and the UPOU-OC, the rule in handling
If not found in logbook and DTS, the records

personnel rely on her knowledge of the files. Other
finding aid should be devised for use of the office.
28

successor/NAP
Compliance
Yes/No/
Partial
Evidence
Remarks
No

These requests are all listed in a logbook. The
establishment of a loaning system will prevent lost
No
29

No

magazines, etc., are sent to the library.
30

archives
No

31
32
33
34
35
36
37
38

found in the GRDS
records are filed
disposal
As shared by the records personnel, they are not yet

disposing any record.
No
No
No

disposing any record. They plan to consult the
GRDS of NAP as soon as a disposal schedule is up.
No
No retention code is used.
No

appraisal.
disposing any record, and has no plan at the moment
to dispose any record.
No
No
No
178

39
40
41
42
43

Has preservation program for archival records
records
Has adequate digital storage for electronic
records
records

Development Plan
Compliance
Yes/No/
Partial
No
No
The office manages 20% electronic records. The

records personnel confirmed that this percentage may
increase soon. A manual on e-records management
must be crafted.
Partial
No
Partial
Yes
46
No
3
31
12
Remarks
No

Findings:
Yes
No
Partial
Evidence

management.

Notes:
7%
67%
26%
179

Unit : UP Mindanao
Date:
01-May-15


2
of number and code)
3

5

Committee

management program

7
Compliance
Yes/No/
Partial
Evidence
The records personnel are familiar with ISO 15489

and RA 9470. With the creation of a records
management team (2014-2016), the unit is now on its
way to complying with relevant regulations of
records mangement.
No
The records personnel have records management

tools on file, which was from a previous
seminar/training, but barely consult it.
No
No
No
Partial
No
Remarks
UP Mindanao constituted a records management

team in 2014. The appointment of the committee
members are only up to 2016.
No
180
UP Mindanao has no official records office at the

moment, but has plans of establishing one.
of the office.
The office has no established records management
program yet. The records management team 20142016 is expected to come up with a records
management/archiving system and manual for the
entire campus.

management

9

11
Compliance
Yes/No/
Partial
Evidence
Remarks
No
The office has no records management manual yet.

The records management team 2014-2016 is
expected to come up with a records
management/archiving system and manual for the
entire campus.
No

No

must be a collective effort of all UPMin units. An
Partial
UPMin-OC uses logbook and UP DTS to


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.

records officer
No
Each unit of the campus has its own

receiving/releasing and messengerial units.

Yes

13

15

Partial

Chancellor are controlled through number codes.
These issuances are reviewed by the Chancellor and
the AO prior to release.
No
181

personnel.
The campus has no systematic retention and
classification system yet but the records management
team is expected to propose a system.
17

Compliance
Yes/No/
Partial
Partial
No

growth
No

20
Yes


Partial
No
Partial
Remarks
The campus has no systematic retention and
classification system yet. This system must be
reviewed and should be documented
No

18

to NAP
22
Evidence

which is also almost full. Records retention and
disposition must be strictly observed to address this
issue.
Storage room of the office is almost full.

accessible to any non-UPMin-OC staff, this makes
the records safe from any unauthorised access. Only
the Chancellor, AO and the records personnel have
access to these.
182

The office is not ready for future expansion of active
records as they lack not only in storage room but also
the workforce.
As per records personnel, their storage room is for
UPMin-OC records only. Each office of the campus
has an allocation of one storage room.
Compliance with the GRDS of NAP and RDS of the
agency is very much needed.
The office has no standard/criteria to maximize filing

25

accessing records
28
29
30
31
32
33

successor/NAP
archives
found in the GRDS
Compliance
Yes/No/
Partial
Evidence

be approved by the Chancellor. This rule should be
comprehensively for any future update.
No
Partial
Partial
Partial
Remarks
The DTS is the most efficient finding aid of the

personnel rely on his knowledge of the files.



The office uses logbook to record on loan records

and has no period set for on loan records.

No
The office has no established rules.
No
The office has no established guidelines.
By practice, the office usually transfer records to

archives after the term of a chancellor (3 years).
No
No
No
The records management team is expected to develop

a records retention and disposition schedule.
No
183

records are filed
34
36


disposal
38
39
41
records

43

records

Development Plan
Compliance
Yes/No/
Partial
No
Remarks
No
No
The office usually review its records every 3 years,

after the term of a chancellor. This should be
No
No
The office has no records management audit plan.
No
No
No
No
No
Partial
Yes
46
No

Findings:
Yes
No
Partial
Evidence
3
33
10

management.

Almost 20% of the records of the office are now in
electronic format. The electronic records
management system must be documented at this early
stage. The back-up systems should be in place.
Notes:
7%
72%
22%
184

Unit : UP Baguio
Date:
01-May-15

1

Compliance
Yes/No/
Partial
No

No

Committee
No
Established a comprehensive records management

program
7
8
management
Remarks
The records personnel is familiar with ISO 15489 and
RA 9470. She has plans to comply with said
regulations.
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

2
of number and code)
Evidence
The office has no plans yet.

of the office.
No

No

program.
No
The office has no records management policy.
No
The office has no manuals of instructions/operations

on records management.
185

9

Compliance
Yes/No/
Partial
Evidence
Remarks
No

No

must be a collective effort of all UPB units. An

11
Partial
UPB-OC uses logbook to capture/register/track

records.

records officer
Partial
The UPB-OC is the central receiving/releasing unit of

UPB. It has pigeon hole shelving units to systematize This should be reviewed and should be documented
this additional function. This is only supervised by
comprehensively for any future update. A records
the records personnel staff of OC, not by any records officer should supervise this function.
officer.

13

15
Yes
Partial
The records personnel maintains two logbooks.

personnel.
Memoranda are issued with control numbers. The

Chancellor review most of the outgoing issuances
prior to release.


records.

No
Partial

186

the records personnel for filing during free-time. No
or filing.

17
Compliance
Yes/No/
Partial
Partial

No

growth
No
18
20


to NAP
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.
In 1996, the records personnel came up with the

listing of all file folders in their records storage. She
updates this list, in longhand, everytime a new folder This process be reviewed and should be documented
is created.
personnel.
According to the records personnel, they used to have

a storage room for records. But since the room was
converted into an office, they are storing their nonactive records in the Board room. She added that
during meetings in the Board room, their records are
temporary inaccesible. This room is not designed for
recordkeeping.
Most of the non-active records are filed in the Board
The room is not designed for recordkeeping. Vital
room.
records of UPB-OC should be kept in record-friendly
storage area.
Because of the peculiar location of the storage area,

records are safe from any unauthorised access. The
Board room and the records room are both locked.
Only the records personnel has the key to open the
doors.
No
187

The room is not designed for recordkeeping. Vital
records of UPB-OC should be kept in record-friendly
storage area.
be approved by the Chancellor. This rule should be
25

accessing records
28
29
30
31
32
33

successor/NAP
archives
found in the GRDS

34
records are filed
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.

records. Additionally, records referred to other
offices are tracked through hand-written notes of the
records personnel.
Remarks
This rule should be reviewed and should be

documented comprehensively for any future update.
The office may consider devising new system for
efficient tracking. This should be reviewed and
should be documented comprehensively for any
future update.
No

call her for help when locating records. As a
practice, she provide the requestor a photocopy of the
record to avoid record loss.As a practice, she mostly
provide a photocopy to prevent record loss. The
No

magazines, etc., are sent to the library. The process
needs documentation because it heavily depends on
the practice of the current records personnel.
No
No
No
No

RDS, she admitted that she barely consult the
schedule.
No

the records personnel for filing during free-time. No
codes or notes are assigned to the records upon
receipt or filing.
No
188

36
disposal
38
39
Compliance
Yes/No/
Partial
No
No
Their last comprehensive records review was in 1996.
No
No
No
No

records
Development Plan
No
Partial
Yes
46
No

Findings:
Yes
No
Partial
Their last comprehensive records review was in 1996.
No
43
Remarks
No

records
41
Evidence
2
34
10

management.
Though the office is starting to digitize some of its

records, a system is yet to be established. The office
must gradually document its electronic records
management at this early stage.
At the moment, their electronic records are saved on
to CDs/DVDs and computer hard disk only. They
plan to purchase external hard drive to back up their
electronic records.
The office plans to purchase external hard drive to
back up their electronic records.
Notes:
4%
74%
22%
189

Unit : UP Cebu
Date:
01-May-15

1


2
of number and code)
Compliance
Yes/No/
Partial
Evidence
The records personnel are familiar with RA 9470 but

did admit that they are not complying with its
provisions.
No
Partial
Remarks
The office is using a records classification scheme.

No other tool is used.
UP Cebu should devise other tool to manage its

records effectively.

No
No

of the office.
UP Cebu has no records office. Each office manages

its own records.

Committee
No

Established a comprehensive records management

program
No

program.
No
The office has no records management policy.

7
190
Evidence
Remarks
No
The office has no manuals of instructions/operations

on records management.
No


No

11

must be a collective effort of all UP Cebu units. An
Partial

management
Compliance
Yes/No/
Partial

9
UP Cebu Dean's Office uses logbook and UP DTS to This should be reviewed and should be documented

records officer
No

Yes
Partial
All memos, AOs and outgoing issuances of the Dean

are controlled through uniform title system. These
issuances are reviewed by the Dean prior to release.
13
15

Each unit of the college has its own

receiving/releasing and messengerial units.
No
191
Compliance
Yes/No/
Partial
Evidence
Remarks
Partial
17

Partial
According to the records personnel, they have a

records classification guide.
18

No

growth
No


inside the office. Almost all cabinets are full. Some
boxes are placed on top of the cabinets and tables to
The records personnel shared that they are not yet
ready for future growth of records because of limited
storage and limited workforce.
Review the types of records for storage. The
Only the HR and student non-active records are kept university records are far more encompassing than
in the storage room of UP Cebu.
just HR and student records. UP Cebu Dean's Office
records are also considered vital records.

20
Partial

to NAP
No
The storage room cannot be considered as miniarchives. UP Cebu has not planned any transfer of

No
The office has no standard/criteria to maximize filing

22
192


25
accessing records
28
29

successor/NAP

Compliance
Yes/No/
Partial
Partial
Evidence
Remarks
Steel cabinets, boxes and the electronic storage

systems are not accessible to any non-UP Cebu
Dean's office staff, this makes the records safe from
any unauthorised access. Only the Dean and the
records personnel has access to these.
No

be approved by the Dean. To protect the records and
the office, the rule in handling confidential records
must be in place.
Partial
When not found in logbook and DTS, the records

personnel rely on her knowledge of the files. Other
finding aids should be devised for efficient records
management.
Partial
UP Cebu Dean's Office uses logbook and UPS DTS

to capture/register/track records.

personnel.
No

This requests are all listed in a logbook. The
records and to save on papers too.
No
The office has established rules.
No

magazines, etc., are kept by the office.
193

30

archives
31

32

Compliance
Yes/No/
Partial
Evidence
Remarks
No
No
Retention and disposal of records are dependent on

the practice and knowledge of the files of the records
personnel. Records for destruction is approved by
the Dean.
No

found in the GRDS
No
34
No
No retention code is used by the office.
No
No
The office has no approved records ineventory and

appraisal schedule.

records are filed

36


disposal
38

Partial
The office try to review its records annually.
This should be reviewed and should be documented.
No

No
The office has no records management audit plan.
41

records
No
No
39
The office is starting to manage electronic records.
194

43

records
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

Development Plan
46
Evidence

Notes:
2%
76%
22%
195

Objective:
Scope:
Methodology:
Unit :
Date:

1
Observance of regulatory environment related to records

management (e.g. ISO 15489, RA 9470)
Compliance
Yes/No/
Partial
Evidence
Remarks
Use of approved / established records management tools (e.g.

2 classification and filing guides, vocabulary controls, indexing,
allocation of number and code)
3
Has an official records and archives office / unit approved by

NAP and DBM
5 Constituted a Records Management Improvement Committee
6 Established a comprehensive records management program

Has a records management policy adopted and endorsed at the
7 highest decision-making level and promulgated throughout the
organization, with schedule of regular review
8 Has manuals of instructions/operations on records management
Standardize the process in capturing records considering

11 classification and indexing, logical arrangement, registration in
the records system and metadata assignment
12
Established a centralized receiving/releasing and messengerial

units under the accountability of the records officer
Appendix I-B
Documented the responsibilities of each records personnel and

9 all other employees of the institution who perform tasks related
to management of records
Designed and implemented a records system to carry out and
10
support the records management processes of the institution

13
Use of logbook or equivalent to record all official records in

chronological order
Compliance
Yes/No/
Partial
Evidence

Use of retention and classification codes as soon as the records
15
is created / captured
17
18
19
20
21
22
23
Has prescribed file classification system for uniform filing

system
Has adequate records storage integrated with the overall
records management program
Storage areas allocated to hold physical records have adequate

space to accommodate anticipated growth
Has storage for non-current record integrated with the overall
records management program
Established an Agency Storage / Mini Archives for non-current
records preparatory their transfer to NAP
Has set standards and criteria to maximize filing equipment and
floor space
Access to records storage areas is restricted to prevent
unauthorised access, damage, theft or other catastrophic loss of
records
25 Has established finding aids in retrieving and accessing records

28 Has rules in the proper turnover of records to successor/NAP

Has an established guidelines on records transfer compliant
with NAP rules
30 Developed clear rules in transferring records to archives
Separation of records for disposal from those for further
31
retention as suggested by NAP
Compliant with the General Records Disposition Schedule
32
(GRDS) of NAP
29
197
Remarks

33
Uses an approved Retention Disposition Schedule (RDS) by

NAP, listing all records which are not found in the GRDS
Compliance
Yes/No/
Partial
Evidence
Remarks
34 Use of retention code (RDS/GRDS) before the records are filed

Has an approved records inventory and appraisal schedule, at
36
least once a year
Conduct periodic examination of records at least once a year to
37
identify valueless records for disposal
Has records preservation and restoration procedures as
38
consulted with NAP
Has recently performed a self-audit / review of records
39
management practices
41 Has an established system in managing electronic records
43 Has necessary back-up systems for electronic records
44
Records management training is included in the organisations

Education, Training & Development Plan

46
There is provision for the regular review of training needs of

the personnel
Findings:
Yes
No
Partial
Notes:
198
Fact File on the Office of the UP President

as of June 2015
Unit:
Description:
Appendix II
Office of the UP President (OP)

OP backstops 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. 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.
The UP President has a single six-year term who is elected by the UP Board
of Regents (BOR), the highest policy making body of the University. The
President is the chief academic officer, chief executive officer, and the head
of the university faculty.
Head:
President Alfredo E. Pascual

Orgranizational Chart of UP Office of the President
Reference:
Republic Act 9500. An Act to Strengthen the University of the Philippines as the National
University , 2008. Retrieved on 11 December 2014 from
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:
Office of the Secretary of University and of the of the Board of Regents

The office facilitates governance of the University through its work as the
secretariat and administrative arm of the Board of Regents and the
Presidents Advisory Council. It serves as the primary interface and
communication link between the top policy makers and executive officers of
the University on one hand and the diverse stakeholders and resource
providers of the University and the general public on the other. Being the
repository of Board policies and decisions, the office may also be called
upon to conduct or to oversee studies and research on policy issues that
require Board attention and action.
Head:
Secretary Lilian A. de las Llagas

Orgranizational Chart of Office of the Secretary of University and of the of the Board of Regents
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:
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
Orgranizational Chart of UP Los Baos
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
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:
UP Los Baos - Records Management Office

The UPLB-RMO is the official records center established by the BOR for
UPLB campus.
The office started under the Administrative Division of the UP College of

Agriculture in 1951. It was then created a records section in 1953 under the
same college. In 1968, it was reconstituted as the Central Records Division,
this time under the Office of the Vice President for Agriculture and Forestry
Affairs. The office started to provide mail-messenger, mimeographing,
radio communications and other recordkeeping operations. Finally, in 1987,
the BOR approved the reorganization of UPLB Administration transferring
the RMO under the Office of the Vice President for Administration
Ms. Apolonia L. Talatala

Orgranizational Chart of UP Los Baos - Records Management Office
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:
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
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:
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.
UP Visayas started as UP Iloilo College in 1947. After seven years, it

became a full-fledged college and was renamed as UP College Iloilo. In
1979, the BOR approved the establishment of an autonomous University of
the Philippines in the Visayas. UP Visayas was operationalized in 1980
through the Executive Order No. 628 issued by President Ferdinand Marcos,
with the main campus in Miagao, and with the College of Fisheries as its
flagship college.
4,900
350
38
Dr. Rommel A. Espinosa
Orgranizational Chart of UP Visayas
211
Organizational Chart of UP Visayas - Office of the Chancellor
References:
Official website of the University of the Philippines Visayas. Retrieved on 15 May 2015 from
http:// www.upv.edu.ph
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:
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
Orgranizational Chart of UP Open University
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
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:
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
Orgranizational Chart of UP Mindanao
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
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:
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.
UP Baguio traces its root in 1921 when a branch of the UP College of

Liberal Arts was established in Vigan, Ilocos Sur. This was later transferred
to Baguio in 1938 under the name UP College of Arts and Sciences. After
the World War II, the college needed to be re-established as the building and
facilities were totally destroyed by military operations. The re-construction
was completed in 1961. The BOR granted the constituent university status
to UP Baguio in 2002.
3,000
143
14
Dr. Raymundo D. Rovillos
Orgranizational Chart of UP Baguio
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
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:
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
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!
Table 1: Checklist of Documentation Required for Records Management Audit

Remarks
1 Relevant organizational structure chart
2 Mission statements for organization and/or department
3 Records management mission statement
4 Records management policy
5
Records management procedures / manual used by the records management personnel, including any inhouse training material or details of other training
6 Specifications for automated records management systems for paper records

7 Specifications of records management systems for digital records
8 Retention schedules
9 Access authorizations
10 Accession records
11 Documentation on records destruction or contracted-out services
12 Written specifications for shelving, boxing, and storage facilities
13 Vital records inventory
14 Vital records protection procedures, including recovery in event of disaster
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
15 Business continuity plan
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.
Information about the institution and the records personnel
Name of the office/ department:

Date of establishment:
Head of the office/ department:
Designation:
Objectives and functions of the office:
Size of staff/ No. of employees:
Name of Records Officer / Personnel:

Designation and years of service:
Educational attainment:
Names of other personnel in-charge of records with designation and years of service:
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.
Please provide percentages of the records formats your office manages.

Paper ___%
Electronic ___%
Microform ___%
Others, please provide.
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
2. Do you have manuals of instructions on how to manage your records? [ ] Yes [ ] No

If yes, please list and describe briefly.
3. Do you have a documentation of the responsibilities of each records personnel? [ ] Yes [ ] No
4. Do you have specific areas/services for the following?
Mail Operations
Messengerial Service
Records classifiers, indexers and filers
Storage areas
[
[
[
[
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
A. Records Creation / Capture

1. What are the types of records created and maintained by the office?
[ ] Memoranda
[ ] Correspondence files
[ ] Financial reports
[ ] Minutes of meetings
[ ] Speeches
[ ] Government publications
[ ] Annual reports
[ ] Audio-visual materials
[ ] Records of research activities done by and for the local government
[ ] Photographs
[ ] Policy and procedure manuals
[ ] Organizational charts or plantilla
[ ] Others (please specify)
2. Are there directives issued for controlling the creation of records?
[ ] policy on control/issuance number of records
[ ] policy on formatting, number of pages, etc.
[ ] Others, please describe briefly
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
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.
What are the elements you capture to register a record?

[ ] Unique identifier or control number
[ ] Date and time of registration / receipt
[ ] Title or short description
[ ] Author, sender, or recipient
[ ] Others, please provide.
3.
Do you classify the records immediately after registration?
C. Classification
How do you classify your records?
[ ] By types or forms
[ ] By office or institution
[ ] By geographic grouping
[ ] Yes [ ] No
[ ] By subject or topic
[ ] By date or chronology
[ ] By numeric category (number or code)
D. Identification of disposition status

1. Do you identify the retention / disposition of the record before filing? [ ] Yes [ ] No
2. How you identify the retention / disposition of the record?
[ ] By personal assessment / experience [ ] By set of rules / guidelines approved by the agency
[ ] By records disposition schedule (RDS) [ ] Others, pleas provide.
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
3. Where do you store your records?
[ ] Steel filing cabinets
[ ] Wooden filing cabinets
[ ] Shelves / Racks
[ ] Boxes
[ ] Electronic storage devices (email, PCs, USB, DVD, repositories)
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
7. Do you have a disaster recovery plan for your records? [ ] Yes
[ ] No
8. How is the status of your records storage?

[ ] Has adequate space
[ ] With limited space
Please give short description.
9. Does your office use digital storage? [ ] Yes
[ ] No
[ ] Considering
10. On digital storage, do you have the following in place?

[ ] Hardware and software requirements
[ ] Backup systems
[ ] Maintenance process
11. How ready is your office for future expansion of active records?
F. Use and Tracking

1. What control systems or finding aids does the office devise when locating or retrieving records /
documents?
[ ] index cards
[ ] inventory
[ ] compiled guides
[ ] computer
[ ] knowledge of the files
[ ] others, please specify
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.
VI. Monitoring and Audit

1. Do supervisors/ heads inspect the conditions of files? [ ] Yes
If yes, how often?
[ ] No
2. Do you inventory records? [ ] Yes [ ] No

If yes, how often?
3. Do you audit your records management practices? [ ] Yes
If yes, how often?
[ ] No
4. Do you have an existing audit tool for your records management needs? [ ] Yes
[ ] No
5. Do you have an existing Records Management Improvement Committee? [ ] Yes
[ ] No
VII. Records Problems

Please rate each entry from 1 to 5; all may have the same rate.
(5 strongly agree, 4 agree, 3 neutral, 2 disagree, 1 strongly disagree)
1. Common difficulties experienced in storage and retrieval of records
___ records sought have been lost, destroyed, or misarranged
___ records retrieval tools such as inventories, indexes, and lists, are inefficient
___ old records are not destroyed at the right time
___ there are some hindrances to attaining records
___ filing system is not efficient
2. Description of your records management practices?
___ The institution's administrative system is operating without problems.
___ There are no communication and coordination problems between managers and their
subordinate staff.
___ There are no communication and coordination problems among the staff.
___ Administrative and legal regulations are adequate to support the smooth running of the
work processes within your working unit.
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)
b. Functions of the office
c. Staffing and duties
2. Do you have an appointed records officer? [ ] Yes [ ] No

3. How do you view your role in recordkeeping in relation to the overall daily business activities
of your office?
[ ] Very important [ ] Important [ ] Slightly important [ ] Not important
4. How much time do you spend on records issues in the usual workday?
[ ] more than 4 hours
[ ] 1 to 4 hours
[ ] 31-60 minutes
[ ] 30 minutes
5. Would you like to have a records center as a centralized area/depository for your semi-active
and inactive records? [ ] Yes
[ ] No
6. Do you have plans of establishing a records center as a centralized area/depository for your
semi-active and inactive records? [ ] Yes
[ ] No
228
7. Do you plan / consider having a standard records management program for UP?
[ ] Yes [ ] No
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
Survey Questionnaire on Records

Management Practices of UP
Toward a OneUP Records Management Program. Thank you for your participation.
* Required
Unit *
OP
OSU
UP Diliman
UP Manila
UP Los Baos
UP Visayas
UP Open University
UP Mindanao
UP Baguio
UP Cebu
Are you satisfied on how your office manages your records? *

Yes
No
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
Survey questionnaire on the records

management in UP
For frequent UP records clients
How would you rate the performance of records offices/units in UP?

Outstanding
Very good
Satisfactory
Not satisfactory
Poor
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:
Optional: Any suggestion in addressing the records management problems in UP?
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Appendix IV
OFFICE OF THE PRESIDENT

17 April 2015
President Alfredo E.Pascual
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"
....
Dear President Pascual/Sir,

I am conducting a researchstudy on record management practices of UP. This is in partial fulfillment of
the requirements for the degree of Master of Library and Information Science(MUS). In this
connection, may I secureyour authorization / permissionto conduct survey and interview in OP,OSU,
OCsand Dean'sOffice of UPCebu in connection with the above-captioned study?
I need youfauthorization to accessthe files on the policies/guidelines in managing records of said units.
Likewise, I need the help of the records officers/staff in answeringthe attached questionnaire.
Interview will also be conducted to supplement the gathered data from the questionnaire.
Additionally, a short questionnaire will be sent out to you and other heads of the respective units.
I hope to get the support of the administration to make this study a success.There is really the need to
reflect on our records management practicesto intensify our call for operational excellence.
Thank you very much.
Respectfullyyours,
Ex utive Assistant
Office of the President
232
17 April 2015
President Alfredo E. Pascual
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:
Prof. Benedict S. Olgado

UP School of Library and Information Studies
University of the Phili ppines
233
17 April 2015
Dr. Lilian A. De Las LJagas
Secretary of the University and the Board of Regents
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
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
Thank you.
Respectfully yours,
Rec elle O.Cornia-Duenas

03- 5425
Noted by:

234
17 April 2015
Dr. Michael L. Tan

Chancellor, UP Diliman
Dear Chancellor Tan:
Greetings!
I am a student of the School of Library and Information Science, UP Diliman, taking up Master of
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.
Thank you.
Respectfully yours,
Rec elle O.Cornia-Duenas

03- 5425
Noted by:

235
17 April 2015
Dr. Fernando C. Sanchez Jr.

Chancellor, UP Los Banos
Dear Chancellor Sanchez:
Greetings!
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
Thank you.
Respectfully yours,
Rec elle O. Cornia-Duenas

03- 5425
UP Diliman
Noted by:

236
17 April 2015
Dr. Carmencita D.Padilla

Chancellor, UP Manila
Dear Chancellor Padilla:
Greetings!
Your campus, being one of the constituents universities of UP, is one of the subject units of my
Thank you.
Respectfully yours,
Rech~~as
03-0~~;~'
UP Diliman
Noted by:

237
17 April 2015
Dr. Rommel A. Espinosa

Chancellor, UP Visayas
Dear Chancellor Espinosa:
Greetings!
Thank you.
Respectfully yours,
Rec lIe O. Cornia-Duenas

03- 425
UP Diliman
Noted by:

238
17 April 2015
Dr. Grace J. Alfonso
Chancellor, UP Open University
Dear Chancellor Alfonso:
Greetings!
Thank you.
Respectfully yours,
ReCElle O~fias
03- 5425
UP iliman
Noted by:

239
17 April 2015
Dr. Sylvia B.Concepcion

Chancellor, UP Mindanao
Dear Chancellor Concepcion:
Greetings!
Thank you.
Respectfully yours,

03- 5425
UP Diliman
Noted by:

University of the Phili ppines
240
17 April 2015
Dr. Raymundo D. Rovillos

Chancellor, UP Baguio
Dear Chancellor Rovillos:
Greetings!
I am a student of the School of Library and Information Science, UP Dillman, taking up Master of
Your campus, being one of the constituents universities of UP, is one of the subject units of my
Thank you.
Respectfully yours,
ReC~iias
03-~~~~'
UP Diliman
Noted by:

241
17 April 2015
Atty. Liza D.Corro

Dean, UP Cebu
Dear Dean Corro:
Greetings!
Your college, being an autonomous college 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.
Thank you.
Respectfully yours,

03- 5425
UP Diliman
Noted by:


Assessment of Records Management in The University of The Philippines

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Assessment of Records Management in The University of The Philippines

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A SAMPLE ASSESSMENT OF

RECORDS MANAGEMENT PRACTICES IN THE

RECHELLE OLAGUER COMIA

MASTER OF LIBRARY AND INFORMATION SCENCE

This special problem entitled, A Sample Assessment of Records

BENEDICT SALAZAR OLGADO

Accepted as partial fulfillment of the requirements for the degree of Master

KATHLEEN LOURDES B. OBILLE

UNIVERSITY OF THE PHILIPPINES SYSTEM

Prof. Kathleen Lourdes B. Obille

Dear Prof. Obille:

EIMEE RHEA C. LAGRAMA

UNIVERSITY OF THE PHILIPPINES SYSTEM

A Sample Assessment of Records Management Practices in the

Benedict Salazar Olgado

Kathleen Lourdes B. Obille

Rechelle Olaguer Comia

Master of Library and Information Science

Bachelor of Arts in Araling Pilipino, cum laude

Certificate of Eligibility # 10130354

UP Alumni Association (UPAA)

To my loving husband, Michael,

Background of the Study .....

II. REVIEW OF RELATED LITERATURE ..

On Records Management in UP .......

Research Design ...

IV. PRESENTATION, ANALYSIS AND

Profile of UP Respondents ....

V. SUMMARY, CONCLUSIONS AND RECOMMENDATIONS........

Summary ... 116

Results of Self-Audit Tool ...

1. Distribution of Respondents by Group ..

2. Distribution of Main Respondents by Unit ...

3. Distribution of Main Respondents by Position Title .

4. List of Educational Attainment of Main Respondents ..

5. Distribution of Main Respondents by Years of Service in UP ..

6. Distribution of Main Respondents by

7. Types of Records Managed by UP ........

8. Formats of Records Managed by UP (in percent) .

9. Records Creation Control in UP

10. Records Registration Systems in UP .

11. Elements Captured by UP During Records Registration

12. Classification of UP Records .

13. Records Storage Facilities in UP

14. Status of UP Records Storage .

15. Finding Aids used by UP Units ..

16. Accommodation of Records Request in UP ..

17. Tracking System for Active and/or on Loan UP Records ......

18. Purposes of ecords Retention and Disposition Schedule in UP .

19. Records Management Tools Used by UP ......

20. Electronic Records Management in UP .

21. Perceived Records Issues of Heads of Units ..... 107

2. The eUP core systems ...

3. Venn diagram of ISO 15489 and RA 9470 ...

4. Schematic diagram on the assessment of

UPs records management practices .

5. Samples of uniform titles/codes for creation of UP records..

6. UP Document Tracking System (UP DTS) and UPLBs DTS .

7. UP Manilas Document Assessment and Tracking System .

8. Electronic document management system (Laserfiche)

9. UPLB-RMOs indexing and cross-referencing system

10. UPs records storage facilities and areas ..

11. Securing access to UP records ......