SYSTEMATIC IMPLEMENTATION OF RECORDS MANAGEMENT OF MARIANO MARCOS STATE

UNIVERSITY

Introduction
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).
A record can be defined as any recorded information or data in any physical format or
media created or received by an organization during its course of official business and kept as
evidence of polices, decisions, procedures, functions, activities and transactions. Records serve as
the memories, the raw materials for decision-making, and the basis of legal defensibility of an
institution (Külcü, 2009) thus they are considered one of its vital resources.
Records management is the system used to control an organization's records from the
creation of the record until the record is archived or destroyed. It is also a process comprised of
identifying records, classifying records, and storing records, as well as coordinating internal and
external access. (https://study.com/academy/lesson/records-management-process-in-
organizations.html)
Records management provides the operational basis for effective transparency in public
administrations, as it permits the creation of quality documentation (authenticity, reliability and
integrity), the tracking of decisions taken over time (traceability), the provision of the foundations
for planning programmes, activities and budgets, the simplification and standardization of records
processes(simplification and standardisation), the fulfilment of the right to rapid access to in-
formation (accessibility and reliability) and the preservation of records over time (preservation)
(Casadesús de Mingo etal.,2016,16).

In the Government, “records management” includes the planning, directing, organizing,

controlling, reviewing, training and other managerial activities involved with respect to the creation,
classification and indexing, distribution, handling, use, tracking, storage, retrieval, protection and
disposal of records to achieve adequate and proper documentation of government policies,
decisions and transactions as well as efficient and cost-effective operation of government bureau
and departments. (https://www.grs.gov.hk/pdf/grmp_(Eng).pdf)

According to Republic Act No. 9470, 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 country's 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.
Records in Higher Education Institutions (HEIs) like MMSU contain information that is useful
in running the education business in an efficient and effective manner, in delivering services
consistently, in supporting all management decisions and ensuring continuity of policy
implementation. And as a university that carries out its mission, it creates various records. The core
business of universities not only MMSU is learning, teaching, research and extension services or
community development.
The Mariano Marcos State University mission states “A premier Philippine University in
2028” and with its seven point agenda “ACHIEVE” A - Academic Excellence C - Creative, Relevant and
Innovative Research Programs H - High Impact and Transformative Extension and Outreach
Programs I - Improved Revenue Generation and Resource Management E - Expanded External
Linkages and Partnerships V - Vibrant and Engaging, Culturally-Focused University Campus E -
Effective and Efficient Management, these activities produce records which provide evidence that
the University is delivering out its statutory functions. If such records are not properly managed or
misplaced, then valuable evidence would be lost forever. As Thurston (2006) says, failure to
maintain records in an appropriate and professional manner may lead to inability on the part of
the organization to prove what decisions and or actions have been carried out or even to prove that
policies and procedures were correctly followed.

Statement of the Problem

Record keeping is very important in any organization as it helps in the storage/preservation
and retrieval of vital information needed for future purposes. Unfortunately, in at Mariano Marcos
State University today, not much importance is attached to record keeping. Thus is may be resulted
into the dearth of useful information needed for the growth and expansion of these institutions.
This study will be conducted to assess the implementation of record management system of
Mariano Marcos State University.
Specifically, this study sought answers to the following questions:
1. What are the factors affecting records management as to:
a. Systems
b. Process
c. Management
d. Staff
2. What program can be proposed to improve the record management of MMSU?
Significance of the Study
The results of this study will benefit several groups.
To the employees, they will be more cautions on the safeguarding of documents in their offices and
awareness on proper record management.
To the heads of offices, this will serve as a basis to formulate policies on the strict implementation of
record management on their respective offices.
To future researchers, this will serve as references who are interested to undertake studies about
the record management.

Scope and Delimitation

This study will be limited only to assess the record management system of different colleges
of Mariano Marcos State University located at the Batac Campus. The head of offices and employees
of the University will be the respondents of the study.
Conceptual Framework

System Process

Factors Affecting Records Improved Record

MMSU
Management Management

Management Staff
 REVIEW OF RELATED LITERATURE
Foreign Studies
Records are something important for every organization or company. Their usage is that are
important in order to conduct the current business, to enable decisions to be made and to
accomplish actions. The maintenance of records is necessary because it helps to use them as
evidence for actions that happened in the past. Other uses of records is that help to face possible
deceptions and to protect the organization. Accountability is one more serious thing that the
keeping of records secures (Sheperd and Yeo, 2003).
The records, despite the fact that they are not biological organisms, they have a lifecycle.
The first phase is their birth, the second phase is their life and the third and last phase is their death.
Research Questions
1. Systems
Record Tracking System

2. Process
Creation
1. W h a t a r e t h e t y p e s o f r e c o r d s c r e a t e d a n d m a i n t a i n e d b y t h e o f f i c e ?
[ ] Memoranda [ ] Letter Request
[ ] Correspondence files (e-mails) [ ] Financial reports
[ ] Minutes/ Notice of meetings [ ] Speeches
[ ] Government publications [ ] Annual reports
[ ] Photographs [ ] Policy and procedure manuals
[ ] Organizational charts or plantilla [ ] Others (please specify)
2. Do you have the following machine records processors?
Photocopying (Xerox) Machines [ ] Yes [ ] No
Microfilms [ ] Yes [ ] No
Computers / Scanners [ ] Yes [ ]
3. H o w d o y o u r e g i s t e r y o u r r e c o r d s ?
[ ] Logbook system [ ] Document Tracking System
[ ] Computer-aided system [ ] Others (Please provide)
4. W h a t a r e t h e e l e m e n t s y o u c a p t u r e t o r e g i s t e r a r e c o r d ?
[ ] Unique identifier or control number
[ ] Date and time of registration / receipt
[ ] Title or short description
[ ] Author, sender, or recipient
[ ] Others, please provide.
Retrieval
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
2. What recording system is required by officials in loaning out files?
[ ] borrower’s 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?

Storage
1. Do you sort and file your record according to its classification?
[ ] Yes [ ] No
2. H o w d o y o u f i l e y o u r r e c o r d s ?
[ ] With folder and label [ ] Stapled with label [ ] Others, please provide.
3. W h e r e d o y o u s t o r e y o u r r e c o r d s ?
[ ] Steel filing cabinets [ ] Wooden filing cabinets
[ ] Shelves / Racks [ ] Boxes
[ ] Electronic storage devices (email, PCs, USB, DVD, repositories)
[ ] Others, please provide.
4. W h a t i s y o u r t i m e l a g i n t h e f i l i n g o f a c t i v e r e c o r d s ?
5. Do you prohibit the filing of non-record materials? (for example: books,
magazines, dailynewspapers)
[ ] Yes [ ] No
If yes, how?
[ ] Transfer to (what office) [ ] Dispose (how) [ ] Others, please specify
6. D o y o u h a v e a f i l i n g m a n u a l ?
[ ] Yes [ ] No
7. Do you have a disaster recovery plan for your records?
[ ] Yes [ ] No
8. H o w i s t h e s t a t u s o f y o u r r e c o r d s s t o r a g e ?
[ ] Has adequate space [ ] With limited space
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

Disposition
1. Have you inventoried your files for the purpose of determining their retention
or disposition?
[ ]Yes [ ] No
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 record s 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, archives, or depository?
[ ] Yes [ ] No
6. Who develops and coordinates these records dispositions plans/schedules?
7. H o w o f t e n d o y o u d i s p o s e v a l u e l e s s r e c o r d s ?
8. Do you identify or list the records to be destroyed? [ ] Yes [ ] No
9. W h o g i v e s c o n s e n t t o d e s t r o y r e c o r d s ?
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.

Management
Facilities

Staff
1. Do you have a records office/records management office in your institution?]
[ ] Yes [ ] No
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
7. Do you plan / consider having a standard records management program for
your college?
[ ] Yes [ ] No
Please explain your answer briefly.
8. Do you have a schedule of training your records/archives officer / staff ?
[ ] Yes [ ] No
9. What trainings have your records personnel had? Please provide the dates of
trainings.
10. What training (if any) do you feel your records personnel need? Please explain your
answer briefly.
11. Does the institution give support to the records management program?
[ ] Yes [ ] No
Please explain your answer.
12. Are you aware of the punishment under the law for records management related offenses?
[ ] Yes [ ] No