QPM 6.02 REFERENCES, RECORDS AND FORMS MANAGEMENT 1

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MANUAL TITLE QUALITY SYSTEM PROCEDURE MANUAL

DOCUMENT NO. QPM 6.02

DOCUMENT NAME

REVISION NO. 1

REFERENCES, RECORDS AND FORMS MANAGEMENT EFFECTIVITY DATE October 9, 2020

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QPM 6.02 REFERENCES, RECORDS AND FORMS MANAGEMENT 1. OBJECTIVE

To describe the policies and procedures of references, records and forms management.

2. SCOPE

These apply to all employees in the maintenance and management of the University references, records and forms.

3. POLICIES

References 3.1 References shall be defined as higher order documents such as legislation,

memoranda, and circulars from regulating bodies, operating manuals, and others, which are used as basis for policies and procedures of various functions.

3.2 Academic related references shall be kept at and maintained by the Office of

the University Registrar (OUR)/Office of the Registrar (OR) at Manila and at Malolos, which shall be responsible for providing official copies of pertinent documents to all concerned. Deans and Academic Department Heads may download or avail of CHED memoranda or policies and standards from other sources. These shall not be kept as official file and shall be marked personal reference. Official copies of pertinent documents shall be stamped or marked received or properly logged upon receipt of updated official copies. The old copy shall be stamped or marked superseded or removed from the active files.

3.3 Labor related references shall be kept at and maintained by the Human

Resource Department.

3.4 References related to finances shall be kept at and maintained by the Accounting Department. Copies of pertinent references shall be provided to the division chairs for General Accounts and Student Accounts and for Section Coordinators for BIR, Pag-ibig, SSS, Accounting and Property.

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The use, disclosure, reproduction, modification, transfer of the document for any purposee in any form or any means without approval from CEU is strictly prohibited, and may be subject to disciplinary and/or legal action.

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Records 3.5 The employee shall identify, index, collect, maintain, access and store its

records in an efficient and organized manner. It shall aim to prevent duplication of files, and eliminate useless records. The records shall be identified through codes and sub-codes as per documentation convention to facilitate retrieval and return.

3.6 A filing chart shall contain records that demonstrate conformance to the specified requirements and the effective operation of the system. It shall include a description of the file and its retention, location and mode of disposal.

3.7 Every employee shall be expected to:

3.7.1 Keep records for storage pending final disposition:

inactive permanent records for permanent storage inactive temporary records for temporary storage pending their

final disposal

3.7.2 Control the incoming and outgoing records in his/her area.

3.8 Data and Document Custodian or school/college/department clerk shall be responsible for the update and control of the filing chart.

3.9 A copy of the filing chart shall be labeled following the codes and sub-codes

indicated in the documentation convention and kept in a designated cabinet together with other records.

3.10 Filing of Records

3.10.1 Files shall be organized according to the system suitable to the

office/school/college/department/division/section. It may be alphabetical, per customer, per day, per month or per year.

3.10.2 All offices/schools/colleges/departments/divisions/sections shall

maintain their own filing cabinet for active records relevant to their normal operation.

3.10.3 Cabinets shall be installed to store all files in an orderly manner.

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3.10.4 All files that are still within the retention period shall be kept in designated cabinets.

3.10 Borrowing and Returning of Files

3.11.1 A borrower’s logbook shall be used for borrowing files. It shall be

maintained by the Data and Document Custodian and shall include the following information:

date borrowed, name of requisitioner, type of file, purpose, due date, date returned, and printed name and signature of the borrower.

3.11.2 Borrowing of files must be done in person and its purpose must be

clearly indicated in order to determine the date the file was borrowed and returned.

3.11.3 In case of an extension of file use, the borrower must notify the

office/school/college/department/division/section from which it was borrowed.

3.11.4 Files assigned to one person shall not be left/transferred to another

person without formal notice. However, there should be written communication/notice to the Data and Document Custodian or clerk of any transfer of file from one person to another.

3.12 Returning of Files

3.12.1 Borrowed files shall be returned in good condition to its shelf or to its

filing cabinet.

3.12.2 The Data and Document Custodian shall indicate in the logbook that the files have been returned.

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3.13 Review of Records

3.13.1 Every employee shall review regularly all files, either monthly, quarterly, semi-annually or annually.

3.13.2 Active files shall refer to records that are relevant to the normal

operations of the department where the record is kept and referred to occasionally or at least once a month.

3.13.3 Inactive files are records whose usefulness to the normal operations of

the office/school/college/department/division/section has lapsed and are referred to less than once a month.

3.13.4 Employees shall make the period between the end of one term and the

beginning of the next term as the official time for checking and reviewing files and discarding irrelevant records or outdated files.

3.13.5 Old files shall be carefully reviewed prior to discarding.

3.14 Protection of Records 3.14.1 Confidential and vital records of permanent value shall be protected in

a cabinet with lock by the responsible person.

3.14.2 All other records are kept in steel or wooden cabinets which serve as protection from natural elements that may cause damage.

3.14.3 Inactive records with historical value are sent to the University

archives for safekeeping.

3.14.4 Employees shall ensure that all papers, contracts and other documents are kept in order before leaving the office.

3.15 Retention of Records 3.15.1 Retention periods shall be expressed in time pattern to indicate the

length of time the record shall be held in retention. Determination of these periods shall depend on:

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frequency with which the company needs it for Its current operations,

historical value, and cost involved in its further retention in the company or its

immediate disposal.

3.15.2 The filing chart shall indicate the retention period of the record.

3.15.3 The University retention period shall be reckoned using any of the following as reference:

School Year - starts in August and ends in June Calendar Year - starts in January and ends in December Fiscal Year - starts in April and ends in March

3.16 Disposal of Records

3.16.1 Disposal of records shall follow the officially approved disposal schedule as reflected in the filing chart.

3.16.2 Records shall be disposed in the following manner:

Shredding. Secret and confidential records shall be totally

destroyed to protect disclosure to the public that may adversely affect the interest of the University. The Data and Document Custodian or designated clerk shall assume the responsibility.

Re-cycle for the University use. Records that are not classified

as secret or confidential and whose reverse sides are still blank may be used as scratch paper. It shall be the responsibility of every employee to put a mark on the front copy of the expired record to avoid misuse.

Archiving. Records with historical value shall be forwarded to

the University Archives for safekeeping.

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3.16.3 Electronic Records shall be disposed as follows:

Delete. E-Records deleted from the current folder shall be stored in trash that can be restored.

Delete Permanently. E-Records shall be deleted permanently.

These cannot be restored. Forms 3.17 Forms are intended to facilitate implementation of procedures and to keep track of

transactions and shall be so designed. 3.18 Forms shall comply with the following specifications:

Paper Size 8.5” x 11” or 8.5” x 13” Whole Crosswise Lengthwise One-fourth Style CENTRO ESCOLAR UNIVERSITY – capital, bold, center Form Title –Initial capital, bold, center Contents – size 10-12 Form Code – (please see documentation convention)

Revision Number – (Rev. x), bold, size 8 Effectivity Date – MMDDYYYY, bold, size 8 Form Distribution – Positioned at the bottom, horizontally listed, bold, size 8

Others With box/border (optional)

Color coded, for distribution (optional) With office / department name and/or the

sub-heading of Manila, Makati, Malolos or (Manila * Makati * Malolos) for forms shared with Makati and Malolos, Initial capital, bold, and size 10

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3.19 Data and Document Custodian shall update forms by filling out the DocumentChange Request (DCR) and monitoring its status through the Document Change Request Register.

3.20 Effectivity of new or revised form shall coincide with the review and approval

date of the Document Change Request. 3.21 The QRMSC/PMD and/or head of the office/school/college/department shall

disseminate to the Management Council any new/revised form and shall ensure its implementation.

3.22 Any change in the form shall be effected only after the necessary change

processes have been complied with. 3.23 All changes in a form whether minor or major shall be reflected in the revision

status and the effectivity date. 3.24 All form codes used shall conform with the most recent documentation

convention. 3.25 Only the latest approved version of a form shall be used.

4. NARRATIVE PROCEDURES

4.1 Borrowing/Issuing of Files

Responsibilities/ Authorities Activities

Requisitioner Data and Document Custodian

1. Requests needed file from the Data and Document Custodian or clerk

2. Looks for the requested file 3. Draws out the desired file from its designated filing

shelves 4. Logs the file in the borrower’s logbook 5. Gives the requested file/folder to the Requisitioner

and instructs the Requisitioner to sign in the “Printed

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Name and Signature of Borrower” portion of logbook

4.2 Returning of Files


Requisitioner Data and Document Custodian/Clerk

1. Forwards the borrowed/requested file to the Data and Document Custodian or clerk

2. Receives the file and puts the date the document was

returned on the borrower’s logbook.

4.3 Updating the Filing Chart


Data and Document Custodian/ Clerk Dean/Department Head Data and Document Custodian/Clerk

1. Modifies and updates files as needed, in coordination with the dean, department head, and other employees concerned

2. Reviews and classifies the record where it shall be

grouped 3. Creates a major subject name and a record series 4. Assigns code or sub-code to each record series 5. Updates the filing chart 6. Makes the necessary label

4.4 Request for Form Revisions/Adoption


Data and Document Custodian in-charge of

1. For common forms, receives pertinent communication/records on form revision/adoption

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form Dean/Department Head

2. For forms originating from one department and for

common forms, fills out part one (1) of Document Change Request (DCR) and records in DCR Register and submits to Dean/ Department Head

3. Fills out part two (2) copies of DCR

4.5 Review and Endorsement of New/Revised Forms by QRMSC

Responsibilities/

Authorities Activities

Data and Document Custodian

1. Forwards to Quality and Risk Management System Committee (QRMSC) the accomplished DCR in printed or electronic form and attachment of new form or old form with the proposed revisions indicated

2. If proposed revisions are acceptable to QRMSC,

submits DCR and attachment to approving authority for review and final approval. If QRMSC recommends improvements, forwards these to Dean/Head concerned who decides on revisions. DCR and attachment are re-submitted to QRMSC for further review and endorsement to approving authority if improvements are found acceptable.

4.6 Encoding of New Form/Revision and Production of Original Copy

Responsibilities/


Data and Document Custodian in-charge of form

1. For forms, encodes and produces original copy after DCR is filed, reviewed and properly approved

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4.7 Dissemination


Dean/Department Head Data and Document Custodian in-charge of form

1. Informs Management Council through the intranet 2. Prepares master copy; indicates effective date and

revision number, if any 3. Posts the new/revised form in the bulletin board of

the HRD and updates this when there are changes. 4. Maintains Form Control Register.

4.8 Reproduction of New/Revised Forms


Data and Document Custodian in-charge of form

1. Submits clear copy of the form to MATPRO Department for reproduction.

4.9 Distribution and Storage of Forms

Responsibilities/


Data and Document Custodian

1. Requests for reproduced copies of form from MATPRO

2. Keeps in proper storage unused forms.

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4.10 Monitoring of Use of Forms


Dean/Department Head/Data and Document Custodian

1. Monitors proper use of form 2. Implements corrective action when erroneous use is

detected

4.11 Distribution of References


Dean/Department Head (Manila, Makati, Malolos)

1. Secure updated copies of references

Respective Data and Document Custodian

2. Stamps or marks received and indicates date of receipt or logs receipt of official copies of references

Dean/Department Head(Manila, Makati, Malolos)

3. Ensures distribution of official copies of references to designated copy holders for their files

Respective Data superseded references Custodian

4. Stamps or marks superseded only or disposes old or and Document

5. Stamps or marks personal reference only new

references downloaded / or accessed from other sources

6. Maintains a list of references For view

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PREPARED BY: APPROVED BY:

QRMSC

QMR

5. LIST OF FORMS

5.1 Document Change Request

5.2 Document Change Request Register

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Documents

QPM 6.02 REFERENCES, RECORDS AND FORMS MANAGEMENT 1