i

WORK BEHAVIORS OF EMPLOYEES AFFECTING THE EFFICIENCY

ON RECORD-KEEPING IN AN OFFICE

A CASE STUDY

Presented to the Faculty of the

Expanded Tertiary Education Equivalency and Accreditation Program
Capitol University
Cagayan de Oro City

In Partial Fulfillment of the Requirements for the degree

Bachelor of Science in Business Administration major in
Human Resource Management

JUANA L. TAPAN
November 2022
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APPROVAL SHEET

This paper entitled “WORK BEHAVIORS OF EMPLOYEES

AFFECTING THE EFFICIENCY OF RECORD-KEEPING IN AN
OFFICE”, prepared and submitted by JUANA L. TAPAN in partial
fulfillment of the requirements for the degree BACHELOR OF SCIENCE
IN BUSINESS ADMINISTRATION major in Human Resource
Management has been examined and is recommended for oral
examination/defense.

ROMEO B. MIÑOZA, JR., DM

Adviser
________________________________________________________________________

PANEL OF EXAMINERS

Approved by the Panel of Examiners in partial fulfillment of the

requirements for the degree BACHELOR OF SCIENCE IN BUSINESS
ADMINISTRATION major in Human Resource Management with a
grade of ______________.

ALDRICH S. PALARCA, DM, FRIEdr

Chairman

ROMEO B. MIÑOZA, JR., DM _____________________________

Member Member

________________________________________________________________________

Accepted and approved in partial fulfillment of the requirements

for the course BACHELOR OF SCIENCE IN BUSINESS
ADMINISTRATION major in Human Resource Management.

ALDRICH S. PALARCA, DM, FRIEdr

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Director, ETEEAP

ACKNOWLEDGMENT

I wish to express my special thanks and appreciation to a number

of people.

I want to thank my adviser, Dr. Romeo B. Miñoza, Jr. for his good

counsel and guidance throughout this study.

My gratitude to Dr. Aldrich Palarca for his unending kindness,

encouragement and patience in answering our inquiries.

Lastly, I especially want to acknowledge my boss, my co-employees

and friends, Engr. Bernabe C. Auxtero, Jr., Engr. Ma. Christina Galicia,

Mr. Jayvee Lester Villamor, Ms. Ma. Angelica A. Asoy, and Ms. Aniza

Marie Aguro, for their help, understanding, encouragement and support

to make this study a success.

Collectively, you have made it all worthwhile.

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DEDICATION

I wish to dedicate this dissertation to my wonderful and loving

family. To my Husband, Mr. Rolando Mata; to my children, Alfie, Albert

Jr. and Abegail

They’ve always been my inspiration to strive hard in pursuing my

dreams. Considering my age, I should have stopped dreaming to get a

bachelor’s degree but because of them who keep on encouraging me to

keep on going and constantly reassuring me that I can make it, I got

courage to continue. They are indeed my strength and inspirations to

carry on the quest of life.

With the help of our Almighty Father and our Lord Jesus Christ

and Mama Mary and all the saints, I will be able to succeed! THANK

YOU LORD!
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TABLE OF CONTENTS

TITLE PAGE i

APPROVAL SHEET ii

ACKNOWLEDGMENT iii

DEDICATION vi

TABLE OF CONTENTS v

LIST OF TABLES vi

I. Introduction 1

II. Rationale of the Study 2

III. Company Background 5

IV. The Case Presentation and Analysis

▪ The Situation 7

▪ Statement of the Problem 7

▪ Objectives 8

▪ Areas of Consideration 8

▪ Alternative Courses of Action 12

▪ Recommendations 15
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V. Bibliography 17

Glossary 19

Appendices 22

Curriculum Vitae 26

LIST OF TABLES

Table 1 SWOT analysis of Manpower 8

Table 2 SWOT analysis of Materials 9

Table 3 SWOT analysis of Methods 10

Table 4 SWOT analysis of Machinery 10

Table 5 SWOT analysis of Mansion 11

Table 6 SWOT analysis of Management 12

Table 7 Lists of Projects under Construction

in Progress Account 22
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I. Introduction

A record contains information that is made, produced, executed or

received in connection with transactional office activities, and supports

an organization in conducting its business. Records are hard evidence of

an agency’s unique policies, procedures, and decisions, and often hold

significant administrative, historical, and legal value.

Good record-keeping is a mark of the skilled and safe practitioner

(Wood, C., 2003). Records support openness and transparency by

documenting and providing evidence of work activities and by making

them available to the public. Accurate record-keeping is integral to

professional practice (McGeehan, R.2007). Records support quality

programs and services, they also guide decision-making, and help

achieve organizational goals.

According to Yakel (2001), Record-keeping practices are a central

means by which organizations demonstrate accountability. Records

management is vital for any office with on-going record-keeping, as they

offer several advantages akin to productivity and cost savings. Record-

keeping systems are the locus of the evidential significance of records;

therefore, their management is critical to the preservation of evidential

meaning. Understanding record-keeping systems is critical to

formulating archival functional requirements for management (Bearman,

D. A. 1993). Good records management helps ensure compliance and

quick access to your most-referenced files.

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Record keeping is important to ensure proper planning,

management, and execution of research work (VishwaVidyapeetham, A.,

2018). Effective record keeping offers an insurmountable benefit in

providing a hassle-free work environment.

II. Rationale

This case study discusses the importance of good record-keeping

in an office. It discusses the factors affecting the efficiency of record-

keeping and the work behavior of employees in charge of the preparation

of the documents.

Records management is a corporate function in a similar way to

human resources, finance, and estates management. The function

should be recognized as a specific corporate program within a public

authority and it should receive the necessary levels of organizational

support to ensure effectiveness. Records and information management is

going through a period of huge change, not least because of the

challenges posed by digital records. Detailed guidance on all the

foregoing requirements should be enshrined in a records management

manual, which should be published and distributed to records staff in

government bodies. (Banton, M., 2016)

According to Egwunyenga (2009), the negative attitude of staff,

improper security of records, inadequate computer terminals, ineffective

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means of retrieving records, lack of record-keeping policy, inadequate

resources as well as lack of record retention and disposition schedule

among others were identified as the associated problems.

According to Dimond, B. (2005), common mistakes which occur in

record-keeping include the absence of clarity, failure to record action

taken to meet an identified problem, missing information, significant

spelling mistakes, and failures in communication

Likewise, the record section plays a vital role in the

implementation of record-keeping inside the office. It has to pursue or

obligate the employees preparing the documents to retain or furnish a

copy to their section.

According to Reed, B (2010), managing risk in the complex modern

business environment is not easy. The risks associated with record

keeping and information management are usually not transparent to

corporate risk managers. Record keeping and information risk add an

extra dimension to business risk.

The Municipal Accounting Office (MACCO) had some completed

projects that cannot be closed due to some lacking documents that need

to be accomplished. These unclosed projects were classified as

Construction in Progress (CIP) accounts. The document needed to close

these projects under such account is the “Certificate of Project

Completion” duly signed by the Project Monitoring Committee Chairman

and the Local Chief Executive. The “Certificate of Project Completion” is

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prepared by the Project Monitoring Committee (PMC). However, the PMC

cannot submit the said document to the MACCO if the Municipal

Engineering Office (MEO) will not provide them with the following

documents as the basis for their project inspection, to wit:

1) Program of Works

2) Detailed Engineering Design)

3) Statement of Work Accomplished (SWA)

Unfortunately, some of these documents have gone missing and

cannot be retrieved from the MEO because some of the employees

preparing the above documents kept them by themselves without

furnishing copies to the record section. (see Table 1)

Peer review of the standards of record-keeping can be helpful in

maintaining standards and preventing errors. High standards of record-

keeping are essential not only because of the possibility of litigation and

prosecution but also because records are intrinsic to the care of the

client (Dimond, B.,1997).

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III. Company Background

The Municipal Engineering Office (MEO) as one of the arms of the

Local Government Unit is not exempted from the policy of keeping

records in an office. The Municipal Engineering Office (MEO) is primarily

responsible for the administration and implementation of infrastructure

development and public works projects of the Local Government Unit.

This office is also working hand in hand with other offices of the Local

Government Unit, among which is the Municipal Accounting Office

(MACCO) specifically on the status of the implemented infrastructure

projects within the municipality.

The Municipality of Manolo Fortich is a 1st class municipality in

the province of Bukidnon. According to the 2020 census, it has a

population of 113,200 people.

The Local Government of Manolo Fortich was created under

Republic Act 1720 which was approved on June 21, 1957. As a local

government unit, its mandate is to provide basic services to its

constituents and help improve their living conditions. LGU MF is

envisioned to be a model for academic excellence, public health and

safety, environmental preservation, and good governance, providing

equal opportunity for all its constituents in a peaceful, friendly

atmosphere through a God-centered leadership of the incumbent elected

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officials. A premier agri-eco tourist destination inhabited by happy,

resilient, environmentally-focused leaders and citizens.

LGU-MF comprises 28 offices, one of its offices in the Municipal

Engineering Office (MEO). Currently, MEO has Twenty Seven (27)

personnel, Nineteen (19) permanent employees, Four (4) casuals, and

four (4) job orders.

The Municipal Engineering Office is primarily responsible for the

administration and implementation of infrastructure development and

public works projects of the Local Government Unit. It administers,

coordinates, supervises, and controls the construction, maintenance,

improvement, and repair/rehabilitation of public buildings, roads and

bridges, and other engineering and public projects of the local

government. It provides engineering services to the local government unit

including technical investigation and survey, engineering design, and

project management.
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IV. The Case Study Presentation and Analysis

The Situation

The Municipal Accounting Office (MACCO) had some unclosed

Accounts of completed projects which were categorized under

Construction in Progress (CIP). Those projects under CIP accounts need

a “ Certificate of Completion '' duly signed by the Project Monitoring

Committee Chairman and the Municipal Mayor as the basis that the said

projects are truly completed. To enable the Municipal Accounting Office

to effect transfer from CIP accounts to the appropriate Property, Plant

and Equipment accounts, a “Certificate of Project Completion '' has to be

accomplished. However, a “Certificate of Project Completion cannot be

achieved without a Program of Works (POW), Inspection Report (IR), and

Statement of Work Accomplished (SWA) of the projects. All those

supporting documents (POW, SWA, IR) were prepared by the Municipal

Engineering Office (MEO) personnel. Unfortunately, most of the

programs of works of these projects cannot be retrieved due to the

reasons that they were kept by the Engineer preparing the said

documents without furnishing a copy to the record section of the office.

Now, the Commission on Audit (COA) requires the Municipal Accounting

Office to resolve all these projects under CIP accounts. Henceforth, the

Municipal Accounting Office passes the matter to the Municipal

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Engineering Office. The problem now is that some of the engineers

involved in the preparations of the documents needed were unavailable

due to retirement, details at other offices, and even death.

The personnel in the record section in the Municipal Engineering

Office consist only of one personnel. She is in charge of the overall

administrative work in the office, aside from being a records keeper.

Record-keeping is allotted only by 10% of her overall workload. She has

no time to follow up from time to time the copies of documents from

those employees who have been instructed to furnish a copy to the

Records section of all the documents they have prepared and sent out.

Statement of the Problem

This case study is conducted to find a solution on the issue of

unintended negligence of employees of their respective duties and

responsibility with regards to good records keeping, hence causing a

problem in the Municipal Engineering Office.

Specifically, this study sought to answer the following questions:

1. What are the factors that affect the efficiency of record-keeping?

2. What should the office do to establish good record-keeping?

3. What recommendations can be proposed to the management to help

address the problem?

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Objectives:

This case study conducted SWOT analysis on the areas of

consideration that influences record-keeping practices at the work area.

Specifically;

1. To identify the factors affecting the efficiency of record-keeping.

2. To establish good record-keeping in the office .

3. To present recommendations to the management that can help

address the problem.

Areas of Consideration

A. MANPOWER:

The Municipal Engineering Office has ten (10) Civil Engineers;

three (3) Civil Engineering Graduates ; one (1) Electrical Engineer; two

(2) electricians ; four (4) Architects; one (1) Mechanical Engineer; four (4)

Draftsman; one (1) Plumber; and one (1) Administrative Assistant.

Table 1. SWOT analysis of Manpower

Manpower

Strength Tenured employees with work experience that averages 5

years

Weakness Only one (1) Admin assistant works on all the records

Opportunity Training for additional admin assistant

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Threat No other admin assistant trained to takeover if current

personnel leaves
The Administrative Assistant is the sole personnel in charge in the

administrative aspects of the office including record-keeping. All of the

above personnel have a technical nature of work.

B. MATERIALS

Office supplies in the office are always delayed. Mostly, office

supplies are delivered in the middle part of the year or even in the last

months of the year. The impact of the delay is that the documents to be

filed are placed only in a box waiting for the supplies needed for filing to

arrive.

Table 2. SWOT analysis of Materials

Materials

Strength Government procured and are complete

Weakness Delay on delivery of materials

Opportunity Consideration of changing suppliers to address delayed

deliveries

Threat Piling of delayed transactions causing misplaced

documents

The main concern of having delayed transactions is that it causes

piles of unclosed work which risks the documents to be misplaced / lost.

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C. METHODS

Importance of record-keeping should be taken into consideration

by all personnel in the office, instilling in their mind the value of record-

keeping and taking an initiative to retain a copy of all the documents

they send out from the office and furnish the same to the records

section.

Table 3. SWOT analysis of Methods

Methods

Strength Trained and experienced Admin Assistant

Weakness Only one admin assistant is trained and experienced

Opportunity Training additional admin assistant that will aid record-

keeping in the office

Threat No one in the office knows the record-keeping practice

other than the admin assistant

The current practice of having only one admin assistant per office

causes unprecedented delays in transactions and record-keeping during

cases of emergency and absence of the solo admin assistant.

D. MACHINERY

There’s a need for scanning equipment in the records section to

back up the hard copies of all the records.

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Table 4. SWOT analysis of Machinery

Machinery

Strength Functional Computer and scanner

Weakness Lag / Unstable internet connection

Opportunity Procurement of portable hot-spot in case local area

network(LAN) is unavailable

Threat Sudden loss of internet connectivity

The office is equipped and procured with the latest model of

scanners and printers, but there are also instances of lost internet

connection which affects the overall record-keeping activity.

E) MANSION

The Municipal Engineering Office is conducive for work and

spacious enough to accommodate all the employees in the office.

Table 5. SWOT analysis of Mansion

Mansion

Strength Spacious and houses all personnel of concern

Weakness Lacking info graphics about record-keeping practices

Opportunity Placement of info graphics about record-keeping

practices

Threat Building is almost 10 years old (proposed for renovation)

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The Municipal Engineering Office is located in a convenient

location. It is at the heart of the municipal Poblacion and is the center of

commercial and government activities.

F. MANAGEMENT:

Additional staff for the records section should be hired and a

records custodian should be appointed, one who can focus on all records’

related work in the office.

Table 6. SWOT analysis of Management

Management

Strength Licensed and tenured Engineer is leading the organization

Weakness Record-keeping practices is not given enough attention

Opportunity Instil good record-keeping practices among all members of

organization

Threat Neglect on record-keeping practices by some members

The leader of the organization must instil good record-keeping

practices amongst all members so that delays on project closure will be

prevented.
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Alternative Courses of Action

1. Conduct training to all staff at all levels regarding the importance

of records-keeping.

Advantage:

a. The office staff will be provided basic information about records

management theory and specific policies and procedures for records

management.

b. The office staff will be able to know their record-keeping

responsibilities and how to fulfil them.

c. Enable the employees to do their part to have efficient record

keeping in the office.

d. Enable the employees to learn that they play an important role

in management records in the entire office.

Disadvantages:

a. Technical staff is always busy with their assigned task and

conducting training will possibly impede their work schedules.

b. Additional expenses to the management.

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2. Create clear rules and procedures that are to be followed by the

office technical staff concerning records keeping.

Advantages:

a. Ensure the effectiveness of records keeping in the office.

b. The technical staff will be guided accordingly.

c. The problem in retrieving records will be prevented.

d. The burden of the record section can be lessened.

e. There will be no more cases of unclosed completed projects at

the Municipal Accounting Office.

Disadvantages:

a. Enforcement of the rules and procedures in the office.

b. Create misunderstanding between the records section and

technical staff if rules and procedures will not be abided accordingly.

3. Hire additional permanent personnel in the records section.

Advantage:

a. There will be a division of work.

b. Has someone to focus on record-keeping.

c. Need not to continually train staff on how things are done.

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d. Can avoid multi – tasking which usually leads to inefficiency of

an employee towards his/her works.

d. There will be someone to take over with the work if someone on

the section takes on leave. There will be an assurance that someone is

holding down the fort in absence of the other.

Disadvantage:

a. Additional expenses to the management.

b. The management is responsible for the employees’ training.

4. The Procurement Office should see to it that office supplies will

be delivered to each office at least in the first quarter of the year.

Advantages:

a. Avoid huge amounts of documents to be filed.

b. Smooth deliberation of office assigned tasks.

c. Documents immediately filed accordingly.

Disadvantages:

a. The Procurement office will render overtime works to cope up

with their deadlines.

b. Additional expenses for the payment of overtime fees.

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Recommendations

After thorough deliberation, I highly recommend alternative

courses of action number one (1) and three (3). The management

conducts training to all staff at all levels regarding the importance of

records-keeping and hires additional permanent personnel in the records

section.

Conducting training to all staff at all levels regarding the

importance of records-keeping will have great benefits for the office. In

this manner, the employees will learn that they play an important role in

managing records in the entire office; it will be instilled in their mind that

it is not only the responsibility of the records section but for them also

doing technical works for establishing an efficient record keeping in the

office. The training will make them mindful to keep a copy of every

document they send out from the office.

Hire additional permanent personnel in the records section. One of

the best options also is to hire additional employees for the record

section. There is a need for someone to focus on the management of

records to ensure the efficiency of the records keeping in the office.

There’ll be a division of work; this will allow the employees to focus on

their respective assigned tasks, hence performing well in their duties and

responsibilities and becoming more productive.

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V. Bibliography

Banton, M. (2016). Record-Keeping for Good Governance and

Accountability in the Colonial Office: An Historical Sketch’.
Integrity in Government Through Records Management: Essays in
Honour of Anne Thurston, 73-84.

Bearman, D. A. (1993). Record-keeping systems. Archivaria

Dimond, B. (1997). Record keeping and reports. In Legal aspects of care

in the community (pp. 197-204). Palgrave, London.

Dimond, B. (2005). Exploring common deficiencies that occur in record

keeping. British journal of nursing, 14(10), 568-570.

Egwunyenga, E. J. (2009). Record keeping in universities: Associated

problems and management options in South West Geo-Political
Zone of Nigeria. International Journal of Educational Sciences,
1(2), 109-113.

McGeehan, R. (2007). Best practice in record-keeping. Nursing Standard

(through 2013), 21(17), 51.

Reed, B., & Gordon, K. (2010). Applied Corporate Governance: Managing

Record Keeping Risk. Keeping good companies, 62(2), 84-88.

VishwaVidyapeetham, A. (2018). A blockchain and ipfs based framework

for secure research record keeping. International Journal of Pure
and Applied Mathematics, 119(15), 1437-1442.

Wood, C. (2003). The importance of good record-keeping for nurses.

Nursing times, 99(2), 26-27.

Yakel, E. (2001). The social construction of accountability: Radiologists

and their record-keeping practices. The Information Society, 17(4),
233-245.

http://futureproof.records.nsw.gov.au)
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Glossary

Record - an object constituting a piece of evidence about the past,

especially an account kept in writing or some other permanent form.

Record-Keeping - the act of keeping track of the history of a

person's or organization's activities, generally by creating and storing

consistent, formal records

Poblacion - is the common term used for the administrative

center, central, downtown, old town or central business district area of a

Philippine city or municipality, which may take up the area of a single

barangay or multiple barangays

SWOT analysis - SWOT stands for Strengths, Weaknesses,

Opportunities, and Threats, and so a SWOT analysis is a technique for

assessing these four aspects of your organization

General Fund - consist of monies and resources of the local

government which are available for the payment of expenditures,

obligations or purposes not specifically declared by law as accruing and

chargeable to, or payable from, any other fund. (Sec. 308, RA 7160 )

Special Education Fund - consist of the respective shares of

provinces, cities, and municipalities in the proceeds of the additional tax

on real property to be appropriated for purposes prescribed in Section

272 of the Local Government Code; and

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Trust Funds - consist of private and public monies which have

officially come into the possession of the local government or of a local

government official as trustee, agent or administrator, or which have

been received as a guaranty for the fulfilment of some obligation. A trust

fund shall only be used for the specific purpose for which it was created

or for which it came into the possession of the local government unit.

(Sec. 309, Ibid)

Program of Work- is a document that shows the series of work

items, their relationship and the time allocated for their execution. It also

consists of the estimated cost and construction materials needed to

complete the projects.

Detailed Engineering Design - is the phase where the design is

refined and plans, specifications and estimates are created.

Statement of Work Accomplished- is a document stating the

percentage of the actual accomplishment of the project at the time of

project inspection.

Construction in Progress- refers to the cost related to the work in

progress of each incomplete work related to construction of long term

assets and fixed assets. It is a debit balance and is treated as an asset in

the future and thereby will be recorded on the assets side of the balance

sheet under the head non-current (long term) asset till the construction

is not completed. These costs are not depreciated in the books of

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accounts till the time the asset is fully ready to use and it’s been put into

the service of the business.

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Appendices

Table 7. List of Projects under Construction in Progress Account

Source of Fund Name of Project Amount

Special
Fabrication of Tables & Chairs 139,020.78
Education Fund
Special
Construction of Teacher’s Cottage 128,614.80
Education Fund
Special
Completion of School Building 846,310.40
Education Fund
Special Const. of M Elem School Classroom
135,093.00
Education Fund Walls & Flooring
Special Const. of District I Non-Handicapping
243,887.25
Education Fund Facilities
Special Rehabilitation of Proposed Teacher’s
26,220.00
Education Fund Cottage
Special Renovation & Extension of District I
110,739.55
Education Fund Office
Special
District Clinic-Floor Tiling 6,720.00
Education Fund
Special
Construction of 1 Unit 2 Classroom 285,670.50
Education Fund
Special
Concreting of Covered Court 27,470.00
Education Fund
Special
Fabrication of Sports Facilities 81,924.00
Education Fund
Special
Completion of X Elementary School 250,000.00
Education Fund
Special Const. of ALS Comfort Room – District
42,649.50
Education Fund II
Special Const. of ALS Comfort Room – District
55,858.80
Education Fund I
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Curriculum Vitae
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JUANA L. TAPAN

E-mail address : 2019579@g.cu.edu.ph

PERSONAL DETAILS:

Date of Birth : June 8, 1969

Place of Birth : Manolo Fortich, Bukidnon

Home Address : Cristan Villa Subdivision, Dicklum,

Manolo Fortich, Bukidnon

Civil Status : Married

EDUCATIONAL BACKGROUND:

:1st sem SY 1986-1987 - Xavier University - BSCE

:2nd Sem SY 1986-1987 up to Summer SY 1988- 1989-

Cagayan de Oro College - BSCE

:2nd Semester SY 1990-1991 - Cagayan de Oro College –

BSC

:1st Sem A.Y. 2002-2003 up to 2nd Sem A.Y. 2003-2004-

Mindanao State University-Iligan Institute of

Technology - Preliminary Engineering

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:1st Sem A.Y. 2004-2005 up to 2nd Sem A.Y. 2004-2005 -

Mindanao State University-Iligan Institute of

Technology - BSBM

WORK EXPERIENCE:

: July 1, 1991 - December 31, 1991- Clerk III -

Co-terminos at LGU- Manolo Fortich, Bukidnon

:January 1, 1992-January 2, 2005- Clerk III - Permanent-

LGU-Manolo Fortich, Bukidnon

:January 3, 2005 - present - Administrative Assistant II-

Permanent-LGU-Manolo Fortich, Bukidnon

PROFESSIONAL AFFILIATION:

: Member - Government Records Officers’ Association of the

Philippines, Inc. - 2007