document and records control - records management

RECORDS

MANAGEMENT

OBJECTIVES:

• To be able to understand better the

importance of Records Management;

• To identify the basic of what to keep, what to

discard, and when to do so; and

• To know how to handle the records you keep,

and records to be created in the future.

Records Management Benefits:

• Uniformity of filing system;

• Standardization and control in the creation and

revision of forms;

• Proper filing facility and storage area;

• Systematic and orderly transfer of inactive

records;

• Ease of record’s retrieval; and

• Compliance to statutory and regulatory

requirements.

What is Records Management?

- a logical and practical

approach in creation, maintenance,

use and disposition of records.

Records Management

CREATION

DISTRIBUTION

PROCESSING/USE

MAINTENANCE

DISPOSITION

Documents

• It is the form that will

be used to gather

data.

• It is created to use as

evidenced of data.

Records

• It is an object

containing

information which

serves to preserve or

perpetuate

knowledge of events,

facts or ideas.

• It is the memory bank

of an organization.

Difference between:

Data

- refers to the information

contents of the record. All

personnel responsible for filling

out records shall ensure that the

data encoded are correct.

Record Code

RECORD SERIES CLASSIFICATION

Live Birds Receiving Inspection Tally Sheet (LIBRIS)

QR-RMW-01-01

Code

QR Quality Records

RMW Raw Materials Warehouse Records

01 RMW Series Number

01 Document Number

Filing System

A system of classifying into files usually

arranged alphabetically or chronologically.

Retention Period

The retention period of a document is an

aspect of records management. It represents

the period of time a document should be kept or

"retained".

• Active Retention Period

• Inactive Retention Period

Storage Area

• Active Storage Area

A handy place within the office since the

records are active thus they are use frequently.

• Archive Storage Area

A place that is less accessible since the

records are not used in a regular basis.

Disposal Method

Disposal of obsolete records.

• Recycling

• Shredding

Example:

MATERIALS REQUISITION FORMRecord Code QR-RMW-01-04

Filling System Chronological (Monthly)

Active Retention Period One (1) Month

Inactive Retention Period Two (2) Years

Active Storage Area SC-WHSE-01-01

Archive Storage Area WC-RR-05 B

Disposal Method Recycle

Records Retention System

OBJECTIVES:

To preserve records as long as needed.

To dispose records as soon as no longer

needed.


Why retain records?• Operating Value

The value of a record series used in retrieval

of information for and as input to routine or day-

to-day functions.

• Administrative Value

The value of a record series to the creating

office in the performance of its assigned

operations within the organization.


Why retain records?• Fiscal Value

The value attributed to a record series

which documents financial transactions or which

have an audit trail.

• Legal Value

The value attributed to a record series

which documents business ownership,

agreements and legally sanctioned transactions.


Why Dispose Records?

• Save on Space and Equipment

• Streamlined Access to Information

• Safety (e.g. fire hazard prevention etc.)

• Prevent Unnecessary Legal Liabilities

Types of Records⊙ Active Records

Records which are still actively being used by an office. These records will be located in a handy place within the office since they are used frequently.

⊙ Inactive Records

Records that do not have to be readily available but which must be kept for legal or historical purposes as defined in the Records Retention Schedule.

⊙ Obsolete Records

Records no longer needed or which have been superseded by more current editions of the same series.

Management of Active Records

• File

Records kept in order in a folder, binder,

etc.; a collection of records involving a specific

name or topic.

• Filing

Process of arranging and storing materials

systematically so that they can be located easily

when needed.

Requirements:

• Files Listing

A complete and up-to-date listing of all the

files of a department or section and their

location; entries appear in the same order as the

files in the drawers/shelves; also known as the

Master list of Files.

Requirements:

• Filing Equipment

Records should be maintained in proper

filing equipment, depending on the size and type

of records; all filing equipment should be

properly labeled.

Filling Equipment:

• Sequence: Top to Bottom and Left to Right.

SC – HRD – 01 – 01 SC Type of Filing Equipment (Steel Cabinet)

HRD Department

01 Number of steel cabinet in the Department

01 Rack number

Filing Folders

• File Folder Label

Captions should include the RRS code,

record title, coverage date, date of transfer to

Records Center and disposal date.

Captions should be affixed to the folder

tabs for ease in reading and searching and

improved appearance.

Filing Folders Record Title Coverage Date

QR Code Date of Transfer to RR

Disposal Date

Filing Folders

DEFINITION OF TERMS

• Coverage Date

Generally, the scope (start and end) of

dates of creation of records included in a file

• Date of Transfer to Records Center

Date when records become inactive

• Disposal Date

Date when records become obsolete

COMPUTATION OF DATES FOR

RECORDS DISPOSITION

• Date of Transfer to Records Center

= after (active retention period)

• Disposal Date

= after (date of transfer to RR + inactive

retention period)

Example:








Filing Folder Label








• Date of Transfer to Records Center= after (active retention

period)

• Disposal Date= after (date of transfer to

RR + inactive retention period)

Materials Requisition FormQR-RMW-01-04

August 2015

September 2015October 2017

Example:

VERIFICATION OF TEMPERATURE GAUGERecord Code QR-CAL-09-05

Filling System Chronological

Active Retention Period Three (3) Months

Inactive Retention Period One (1) Year

Active Storage Area Calibration Office Table

Archive Storage Area WC-ENG-01-02


Filing Folder Label

VERIFICATION OF TEMPERATURE GAUGE

Record Code QR-CAL-09-05


Active Retention Period Three (3) Months

Inactive Retention Period One (1) Year

Active Storage Area Calibration Office Table

Archive Storage Area WC-ENG-01-02


• Date of Transfer to Records Center= after (active retention

period)

• Disposal Date= after (date of transfer to

RR + inactive retention period)

Verification of Temperature GaugeQR-CAL-09-05

July-September 2015

October 2015November 2016

Role of Department Head

• Ensure that data needed in form provided

where properly filled up. Conduct hourly or

frequency of data verification

• Ensure that all reports are submitted after shift or

before end of day. If not make sure you are

always on top of your department.

• Make sure that data in the form are readable

• Records are input in analysis, review the data

and analyzed for continual improvement.

• File properly the records.

Role of Section Head

• Properly filled up all data needed in form

provided on real time

• All data in the form will be our input in analysis

• Properly correct the data if there will be some

erasures needed

• Make sure that data in the form are readable

• Ensure that your records are signify by person

prepared and your department head before

submission

Role of Admin Staff

• Ensure that data needed in form provided

where properly filled up prior to filing.

• Check all reports that are needed to submitted

after shift or before end of day. Make it a habit.

• Make sure that data in the form are readable, if

there were some questions in report ask the

personnel who prepared.

• File properly the records in their folder with label

– coverage date, retention and disposal date

Role of Admin Staff

• File all folders in their storages with proper

definition, identified in QRM for easy retrieval.

• After active period of records secure a

transmittal of all records to be transferred in

Records Room.

Monthly Documentation Audit

• Audit will be initiated on the sixth (6th) working

day of the succeeding month.

[e.g. August 2015 files will be checked on

September 7, 2015]

• Active storage area

• Proper filling arrangement

• Completeness

• Prescribe Labelling

• All findings that have been raised during audit

shall be addressed in a span of five (5) working

days.

Records Turnover Procedure

• Transmittal of all records to be transferred;

• Complete listing;

• With coverage date;

• Signed and verified by the Department Head.

ACES AMC IPPC-QFSMS

Data Control Policy

Errors may be corrected following the procedure below:

• 4.5.1 Slash the wrong entry with one straight line making sure that the wrong entry is still readable.

• 4.5.2 Write the correct entry near the wrong entry. Ensure that the correct entry is written clearly and legibly.

• 4.5.3 Indicate the initials or signature (Which ever the space would allow) And the date when the correction was made.

document and records control - records management

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