Records-Management-Notes.pdf

LOGO Records Management, Data Privacy and You School of Library and Information Studies(SLIS) University of the Philippines Diliman www.themegallery.com LOGO  LOGO OBJECTIVES...

LOGO Records Management, Data Privacy and You School of Library and Information Studies(SLIS) University of the Philippines Diliman www.themegallery.com LOGO  LOGO OBJECTIVES  To understand the role of effective records management in the implementation of the Data Privacy Act of 2012 a.k.a R.A. 10173;  To develop an in-depth understanding of the importance of effective and efficient records management;  To be familiarized with the different processes in records management as prescribed in the National Archives of the Philippines Act of 2007 R.A. 9470.  LOGO OUTLINE I. Data Privacy and Records Management a. Definition of Records b. Different Types of Records c. Basic Concepts d. Records Life Cycle II. Requirements of the National Archives Act a. Organization and Maintenance of Current and Non-current Records b. Pertinent Guidelines/Issuances and Prescribed Forms  www.themegallery.com LOGO How does DPA affect the University? The Data Privacy Act(DPA) applies to all records containing personal Information in the custody or under the control of the University and its pertinent units. Section 3 of DPA This includes, but is not limited to, records held at the: Registrar’s Office, HRDO, UP Health Service, College Secretary’s Office, Guidance Counselling Office, Finance Units, Libraries, and other pertinent units mandated to collect personal information in the performance of their jobs.  www.themegallery.com LOGO Section 3 of DPA “Personal information” refers to any information, whether recorded in a material form or not, from which the identity of an individual is apparent or can be reasonably and directly ascertained by the entity holding the information, or when put together with other information would directly and certainly identify an individual; How does DPA affect the University?  www.themegallery.com LOGO Why we create records?  www.themegallery.com LOGO Radicalcompliance.com LOGO Why we create records? As evidence Basis for decision-making Business continuity Transparency and accountability Management of data and information  www.themegallery.com LOGO RECORD!!! ENCODE!!! LOGO  www.themegallery.com LOGO  www.themegallery.com LOGO LOGO Records Management The application of systematic and scientific control to recorded information which is required in the agency’s operation; It involves creation, storage, use, retrieval, transmission, protection, retention, preservation, maintenance and disposition of records.  www.themegallery.com LOGO  LOGO Article 1 Par.3 of the IRR of R.A. 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. Toward 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/local universities and colleges (S/LUCs), 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.” LOGO Records - refer to information, whether in its original form or otherwise, including documents, signatures, seals, texts, images, sounds, speeches, or data compiled, recorded, or stored, as the case may be: a) in written form on any material; or on film, negative, tape, or other medium so as to be capable of being reproduced; by means of any recording device or process; by computer, or other electronic device or process. R.A. 9470 of 2007 LOGO Records -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 (ISO 15489-1:2001) LOGO Why the need to protect public record? Public records are essential to the administration and operation of all government offices, whether national or local, including GOCCs and government financial institutions (GFIs). Public records contain information which allows government programs to function, provide officials with a basis for making decisions and ensure continuity with past operations. Art. 2 IRR of R.A. 9470  LOGO Why the need to protect public records? They document the legal responsibility of government, protect the rights of citizens and provide citizens with a means of monitoring government programs and measuring the performance of public officials. Records of government offices, whether local or national, GOCCs and GFIs also reflect the historical development of the government and of the citizens which it serves. Such records need to be systematically managed to ensure preservation of historically valuable materials, to provide ready access to vital information and to promote the efficient and economical operation of government. Art.2 IRR of R.A. 9470  LOGO Characteristics of Records Authentic – can be verified that the records are now exactly as these were when first transmitted or set aside for retention. Reliable – have authority; contents can be trusted as actual representation of a transaction and can be depended upon for future reference. Complete and Unaltered – integrity is protected against unauthorized alterations. Useable – can be accessed. Unique – created in the context of the organization’s activities; have relationship with other records which makes these unique. LOGO VALUES of Records RECORDS TIME Value UTILITY Value Permanent Primary Temporary Secondary  LOGO UTILITY Value PRIMARY VALUE OF RECORDS Administrative Legal Fiscal Operational Value  www.themegallery.com LOGO UTILITY Values Historical SECONDARY Evidential VALUE Research/ Informational Symbolic Organizational Value LOGO Records of social and organizational activity Information Personal Archives Information LOGO Records Management Archives Data Privacy Administration Protection LOGO Records Management Refers to the managerial activities involved with respect to 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. - IRR of R.A. 9470 LOGO LOGO Records Life Cycle Creation or Receipt Disposition Permanent Preservation Destruction Capture Reuse Storage and Use Maintenance LOGO Life Cycle of Records Store or destroy Collect Process and Control LOGO Disposal of Records ART. 36. No officer, member or employee of any agency of the government, whether national or local, or any political subdivision thereof shall destroy, sell or otherwise dispose of any public records or printed public document in such person's care or custody or under such person's control without first having secured authority from the National Archives of the Philippines of their nature and obtained its authorization. - IRR of R.A. 9470 LOGO Records Schedule..\..\Downloads\NAP-Gen.-Circular-1-2-and-GRDS-2009.pdf LOGO MAINTENANCE OF CURRENT and Non- CURRENT RECORDS LOGO  LOGO Records Life Cycle Current/ Semi-current/ Non-current/ Active semi-active Inactive regularly used Used infrequently Not needed for current business  LOGO Records Life Cycle Active or Current Phase CREATION Records are created and are frequently accessed in connection with current activities and are MAINTENANCE and USE maintained in their office of origin Inactive or Non-current Phase Temporary records are infrequently required in connection with current activities and are DISPOSITION maintained in a Records Center Permanent records are transferred to the Archives Valueless records are destroyed  www.themegallery.com LOGO * CREATION AND CAPTURE * CLASSIFICATION, CODING AND INDEXING RECORDS * ACCESS AND SECURITY MANAGEMENT CLASSIFICATION PROCESSES * STORAGE AND HANDLING * INVENTORY, APPRAISAL AND SCHEDULING * IMPLEMENTATION OF DISPOSITION  LOGO Maintenance of Records Creation/Capture  Management of creation and capture of all types of correspondences, issuances, reports and other records necessary in the conduct of the official function of the office. Maintenance and Use  Registration  Tracking  Classification. Coding and Indexing  Access and Security Classification  Storage and Handling  Inventory, Appraisal and Scheduling Disposition  Transfer to Records Center/Archives or Disposal  www.themegallery.com LOGO National Archives of the Philippines (NAP)  NAP General Circular No. 1: Rules and Regulations Governing the Management of Public Records and Archives Administration  NAP General Circular No. 2 : Guidelines on the Disposal of Valueless Records in Government Agencies  NAP General Circular No. 3: Guidelines on the Establishment and Use of the General Records Disposition Schedule (GRDS)  NAP General Circular No. 4: Guidelines on the Implementation of the National Records Inventory  LOGO Creation/Capture Process of identifying which records should be created/captured in paper and digital form, including records received by the organization, NAP Circular No. 1  LOGO Creation/Capture In assessing the need to create/capture records, the aim is to identify and assess: the requirements of the organization/business units for records that provide evidence and information for operational use and collective memory and that the evidence can support accountability the costs of creating/capturing and maintaining the required records, and the risk to the organization if it does not have those records  LOGO Creation/Capture Policies Handling of Non- Formatting Records/Eph Archiving emera/Transit ory Records  LOGO Registration -Provides evidence that a record is created or captured in a records system; -Involves recording brief descriptive information about the record in a register or logbook or registration system, and assigning the record a unique identifier -R.A. 9470, Art. 3, Sec. 14  LOGO Tracking - Process of documenting the movements and use of records so that their whereabouts are known at all times Tracking System - monitors the physical movement of records, control the issue of records and document their transfer between offices or persons and their return to storage  LOGO Classification and Coding Classification Classification System A predetermined logical scheme for the physical and intellectual arrangement, storage and retrieval of records Coding Scheme A representation of a classification scheme, in letters and/or numbers and in accordance with a pre-established set of rules  LOGO Maintenance and Use Access and Security Classification - Determining access classification as: open access records or restricted access records Personal information Confidential information Privilege information - Restrictions on public access to public records are noted in the NAP Public Access Registry R.A. 9470, Art. 5, Secs. 30-37  LOGO Storage and Handling Records require storage conditions and handling processes that take into account their specific physical and chemical properties Archival records require higher quality storage and handling Storage conditions and handling processes should be designed to protect records from unauthorized access or loss and from theft and disaster  LOGO Appraisal AND Disposition Refers to the study of records, their relationships and contents, to determine their time and utility values Time Value Utility Value * Permanent * Primary * Secondary (Archival) * Temporary - Administrative - Evidential - Legal - Historical - Fiscal - Research/Informational - Symbolic  LOGO Inventory Descriptive listing, generally by records series and subseries, of all the records created, received and maintained by an organizational unit, indicating fields such as reference code, period covered, volume/quantity, location, frequency of use, duplication, format, arrangement, access restrictions, vital records status, time and utility values, and retention period All government offices shall regularly conduct an inventory of their public records… (R.A. 9470, Art. III, Sec. 15)  www.themegallery.com LOGO INVENTORY  A fact-finding survey  Identifies and describes the types of records or records series created, maintained and used by the different units of an organization  Provides detailed information about the nature, formats, location, arrangement, value, access, etc. of the records series of the units  initial step in the formulation of a Records Disposition Schedule  www.themegallery.com LOGO PURPOSES  To identify:  valueless records for disposal  temporary records to be retained for specific period of time  permanent or archival records to be transferred to Archives  vital records to be protected  LOGO THE RECORDS INVENTORY FORM  NATIONAL ARCHIVES OF THE PHILIPPINES (NAP) RECORDS INVENTORY AND APPRAISAL FORM  www.themegallery.com LOGO APPRAISAL  The process of assessing records and identifying which are to be kept permanently as archives and which are to be kept for a specific period until these can be destroyed or removed permanently  www.themegallery.com LOGO SCHEDULING  The process of prescribing RETENTION PERIOD of records for the development of a Records Disposition Schedule  Retention Period –length of time as provided by existing legislation, administrative procedure or regulation or based on predetermined length of need or use  www.themegallery.com LOGO SCHEDULING RDS - provides mandatory instructions for what to do with records (and non-record materials) no longer needed for current business.  Covers all records created and maintained by the organization.  Provides for an accurate description of each record series.  Prescribes the number of years during which a records series should be kept before it is either transferred to the Records Center or Archives or finally sold or destroyed.  www.themegallery.com LOGO Records Disposition Schedule Prepare Submit for Implement RDS NAP..\..\Downloads\NAP-Form-2-rds.pdf  LOGO Records Disposition Schedule (NAP Form No. 2) > Item Number > Records Series, Title and Description > Retention Period - Active - Storage - Total > Remarks LOGO  LOGO Implementation of the RDS Retention of Active Records – retain records that are absolutely needed in day to day operations of the agency. Such records include those that deal with completed business but which may be used as reference in continuing agency transactions. Disposal of Valueless Records  Burying / Landfill  Shredding  Sale Transfer of Non-Current Records  www.themegallery.com LOGO Procedures in the Disposal of Records Prepare Request Submit Request START Determine to Dispose (Form to Dispose (Form valueless records 3) 3) to NAP Issue Authority to Segregate Issue Notification Valueless Actual Disposal Dispose of Actual Disposal Records Issue Remit Certificate of Proceeds of END Disposal Sale  LOGO NAP shall solely determine and declare if records for disposal are non-record materials, which can be included in the actual disposal of valueless records provided these are no longer needed in the operation of the agency. LOGO  LOGO Transfer of Non-current Records Non-current Records – deal with completed transactions / business which are no longer needed for action or reference in continuing operations but are of research or archival value to the agency and its constituents.  LOGO Transfer of Non-current Records (cont’d)  Transfer scheduled temporary non-current records to storage or Records Center.  Transfer permanent non-current records to the Archives.  Use NAP Form No. 3 to list records being transferred LOGO LOGO NAP Circular No. 4 Pursuant to Article III Section 15 of Republic Act No. 9470, records officers/custodians of all government offices shall conduct an inventory of their public records and shall be mandated to keep the following data in their respective registry:  All public records under its custody;  All public records transferred to the NAP; Public records disposed of with authority (Section 18 and 19 of R.A. 9470); Data of deferred transfer of records (Section 21 of R.A. 9470); and LOGO NAP Circular No. 4 A public access register that contains information on: Restrictions on public access to public records; Prohibitions imposed on public access to public archives or protected records under the control of the Executive Director; The grounds for the prohibitions and restrictions; and The conditions agreed on as to public access for protected records transferred to the control of the Executive Director of NAP  LOGO Scope and Coverage The inventory shall cover all public records created, received and maintained in all branches of the government, whether national or local, constitutional offices, government owned controlled corporations, government financial institutions, state/local universities and colleges, Philippine embassies, consulates and other Philippine offices abroad. As needed, it shall also cover private archival collections. -IRR of R.A. 9470 LOGO Objectives  To create a list of record holdings of respective government agencies/institutions.  To gather information on an agency’s records management profile including information about its records officers/custodians, contact numbers and the like which would determine accountability in ensuring that the full range of records documenting the affairs of the government are maintained and preserved.  To identify government employees accountable/ responsible for records management  To establish a Public Access Registry for all record holdings of the government including selected private institutions.  LOGO Objectives  To update and establish General Records Disposition Schedule as well as Records Disposition Schedule for national offices, Local Government Units, state universities and colleges, government hospitals, and water districts.  To assist government agencies in establishing records management plan/manual.  To provide the basis for a National Records Management Information System on policies, rules, regulations, guidelines and procedures.  To provide public viewing on open access documents; access essential and reliable evidences of national information.  To standardize government records management systems LOGO How to conduct the Inventory? Identify records Approximate Identify location series volume Sign by Person Fill up Form 4 Submit to NAP Concerned NAP collate NAP include in and prepare Public Access Circulate summary report Registry  LOGO THE RECORDS INVENTORY FORM  NATIONAL ARCHIVES OF THE PHILIPPINES (NAP) RECORDS INVENTORY AND APPRAISAL FORM  LOGO Steps in Filling Up the Inventory Form 1) Name of Office: The office where the inventory is being undertaken. 2) Department/Division: The department/division of the office. 3) Section/Unit: The administrative or operating section/unit of the office. 4) Telephone Number :The contact number of the person/employee in charge of files. 5) E-mail Address : must be the official electronic mail of the office. LOGO Steps in Filling Up the Inventory Form 6) Address: The specific location of the office where the floor number, building, street, city/ municipality and province are indicated 7) Person In-charge of Files: The person/employee having control or custody of the records /files/documents. 8) Date Prepared: The date when the inventory of records was accomplished/finalized.  LOGO Steps in Filling Up the Inventory Form 11) Volume: The mass of the records should be computed and expressed in cubic meters. The formula for volume in cubic meters: Volume = length x width x height (in meters) 12) Records Medium: The physical material in or on which information may be recorded such as paper, film, magnetic tape, electronic disk, etc. 13) Restriction: Records are to be classified as open access or restricted access records. If the government office has no guidelines pertaining to the restrictions of its record holdings, all records of that office are considered open access. Restricted records shall be classified as confidential, secret and top secret records. 14) Location of Records: The location of records should be specified with such designations as office area, offsite or in NAP.  LOGO Steps in Filling Up the Inventory Form 15) Time Value: Records shall be categorized as temporary or permanent records. Temporary records have a specific retention period and may be disposed of. Permanent records may not be disposed of as these should be retained for safekeeping.  LOGO Steps in Filling Up the Inventory Form 16) Retention Period: If the time value of the records is temporary, the specific retention period should be indicated and checked against the GRDS, Agency RDS or against any other guidelines pertaining to the disposition of the specific record series. When the records’ time value is permanent, there will be no limit to its retention period. If the records had no approved retention period, the Records Officer/Custodian shall make an appropriate proposal to the NAP about the suggested retention period. LOGO Steps in Filling Up the Inventory Form 17) Remarks: A brief description/explanation/ history of the records series indicated in the inventory if not found in the Agency RDS/GRDS.  LOGO THE RECORDS INVENTORY FORM  NATIONAL ARCHIVES OF THE PHILIPPINES (NAP) RECORDS INVENTORY AND APPRAISAL FORM  LOGO Requirements of R.A. 9470  Records Officer  Central Records Office/Unit Records Management Improvement Committee (RMIC) RMIC shall be established as an advisory body on records management and archives activities, focusing on records inventory and appraisal, formulation of records disposition schedule, transfer and disposal of records  Records Management Program  Records Registry and Inventory  Records Disposition Schedule  Records Center  www.themegallery.com LOGO References: Ellis, Judith, ed. (1993). Keeping archives. 2nd ed. Australia : Thorpe. Hunter, Gregory. Developing and maintaining practical archives. 2005. Republic Act No. 9470 (National Archives of the Philippines Act of 2007) NAP General Circular No. 1-4, series of 2009 http://nationalarchives.gov.ph/downloads/nap-circulars/ ISO 15489 – 1 and ISO 15489 – 2  LOGO Maraming salamat at Mapagpalang Hapon sa inyong lahat MARY GRACE GOLFO-BARCELONA Assistant Professor School of Library and Information Studies E-mail: [email protected]