Records Management: Records, Documents, Retention Period, Filing System, Disposal Methods

1. RECORDS
MANAGEMENT

2. 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.

3. 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.

4. What is Records Management?
- a logical and practical
approach in creation, maintenance,
use and disposition of records.

5. Records Management
CREATION
DISTRIBUTION
PROCESSING/USE
MAINTENANCE
DISPOSITION

6. 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:

7. Data
- refers to the information
contents of the record. All
personnel responsible for filling
out records shall ensure that the
data encoded are correct.

8. 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

9. Filing System
A system of classifying into files usually
arranged alphabetically or chronologically.

10. 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

11. 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.

12. Disposal Method
Disposal of obsolete records.
• Recycling
• Shredding

13. Example:
MATERIALS REQUISITION FORM
Record 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

14. Records Retention System
OBJECTIVES:
 To preserve records as long as needed.
 To dispose records as soon as no longer
needed.

15. Records Retention System
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.

16. Records Retention System
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.

17. Records Retention System
Why Dispose Records?
• Save on Space and Equipment
• Streamlined Access to Information
• Safety (e.g. fire hazard prevention etc.)
• Prevent Unnecessary Legal Liabilities

18. 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.

19. 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.

20. 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.

21. 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.

22. 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

23. 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.

24. Filing Folders
Record Title Coverage Date
QR Code Date of Transfer to RR
Disposal Date

25. 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

26. 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)

27. Example:
MATERIALS REQUISITION FORM
Record 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

28. Filing Folder Label
MATERIALS REQUISITION FORM
Record 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
• Date of Transfer to
Records Center
= after (active retention
period)
• Disposal Date
= after (date of transfer to
RR + inactive retention
period)
Materials Requisition Form
QR-RMW-01-04
August 2015
September 2015
October 2017

29. Example:
VERIFICATION OF TEMPERATURE GAUGE
Record 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
Disposal Method Recycle

30. Filing Folder Label
VERIFICATION OF TEMPERATURE GAUGE
Record Code QR-CAL-09-05
Filling System Chronological (Monthly)
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
Disposal Method Recycle
• Date of Transfer to
Records Center
= after (active retention
period)
• Disposal Date
= after (date of transfer to
RR + inactive retention
period)
Verification of Temperature Gauge
QR-CAL-09-05
July-September 2015
October 2015
November 2016

31. 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.

32. 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

33. 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

34. 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.

35. 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.

36. Records Turnover Procedure
• Transmittal of all records to be transferred;
• Complete listing;
• With coverage date;
• Signed and verified by the Department Head.

37. 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.