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Document and Records Control - Records Management

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

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Document and Records Control - Records Management

  1. 1. RECORDS MANAGEMENT
  2. 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. 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. 4. What is Records Management? - a logical and practical approach in creation, maintenance, use and disposition of records.
  5. 5. Records Management CREATION DISTRIBUTION PROCESSING/USE MAINTENANCE DISPOSITION
  6. 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. 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. 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. 9. Filing System A system of classifying into files usually arranged alphabetically or chronologically.
  10. 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. 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. 12. Disposal Method Disposal of obsolete records. • Recycling • Shredding
  13. 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. 14. Records Retention System OBJECTIVES:  To preserve records as long as needed.  To dispose records as soon as no longer needed.
  15. 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. 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. 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. 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. 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. 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. 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. 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. 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. 24. Filing Folders Record Title Coverage Date QR Code Date of Transfer to RR Disposal Date
  25. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 36. Records Turnover Procedure • Transmittal of all records to be transferred; • Complete listing; • With coverage date; • Signed and verified by the Department Head.
  37. 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.

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

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