FOR LOCAL GOVERNMENT
Primer on Establishing a
Records & Archives Management Program
Primer on Establishing a Records and Archives Management Program for Local Government
Copyright © 2004 Philippines-Canada Local Government Support Program (LGSP) andDevelopment Academy of the Philippines (DAP)
All rights reserved
The publishers encourage the use, translation, and adaptation and copying of this material for non-commercial use, with appropriate credit given to LGSP and DAP.
Although reasonable care has been taken in the preparation of this primer, neither the publisher and/or contributor and/or writer can accept any liability for any consequence arising from the use thereof or from any information contained herein.
ISBN 971-576-014-7
Printed and bound in Manila, Philippines
Published by:
Development Academy of the Philippines (DAP)The National Productivity OrganizationDAP Building, San Miguel Avenue, Pasig City1600 PhilippinesTel. Nos. (632) 631 0921 to 30Fax No. (632) 631 2123www.dap.edu.ph
Philippines-Canada Local Government Support Program (LGSP)Unit 1507 Jollibee PlazaEmerald Avenue, Pasig City1600 PhilippinesTel. Nos. (632) 637 3511 to13www.lgsp.org.ph
This project was undertaken with the financial support of the Government of Canada provided through the Canadian International Development Agency (CIDA)
A JOINT PROJECT OF
IMPLEMENTED BY
Department of the Interior and Local Government (DILG)
National Economic and Development Authority (NEDA)
Canadian InternationalDevelopment Agency
Federation of Canadian Municipalities (FCM)
www.fcm.ca
Agriteam Canadawww.agriteam.ca
Foreword 7Acknowledgements 9Preface 11Acronyms 13Introduction 15
I. Records and Archives Management in Local Government: Principles and Context 17
What are records? 19What are archives? 19What are public records? 20Why should LGUs care about records? 20 What is records management for LGUs? 22 What are the benefits of records management to LGUs? 22 What is the life cycle approach to records management? 23 What are the key activities in records management? 24 What are the legal mandates of LGUs on records and archives management? 26What assistance can the RMAO provide LGUs? 29
II. Setting Up a Records and Archives Management Program in the LGU 31
A. Developing a Records and Archives Management Program 33
What is a Records and Management Program (RAMP)? 33Why should LGUs develop their own RAMP? 33What are the elements of a RAMP? 35What are the steps in developing a RAMP in the LGU? 35
B. Capacities and Resources for Implementing a Records and Archives Management Program 42
What policy actions are needed to implement the RAMP in the LGU? 42 What structures, capabilities and resources are needed to implement the RAMP in the LGU? 43
III. Practices in Local Records and Archives Management: The Camiguin Experience 45
A. Getting Started: The Catarman Story 47B. Records Creation 49C. Records Maintenance and Use 51
Managing Electronic Mail 51Managing Mail Operations 51 Managing File Operations 54
D. Records Disposition 57
Summary 59References 60
Contents
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List of Figures and Boxes
Figure 1. Flowchart for Developing a Records and Archives Management Program (RAMP) 36
Box 1. Developing a RAMP for Camiguin LGUs 48
Box 2. File Requisition Form 56
Annexes (The Annexes of this primer are contained in the enclosed CD Rom)
ANNEX 1 Sample Functional Subject Alphabetic Filing System 5
ANNEX 2 DECS Order No. 13-A, S. 1988 Guidelines on the Decentralized Disposal of Valueless Records in Government Agencies 7
ANNEX 3 DECS Order No. 13-B, S. 1988 Rules and Regulations Governing the Coordination of Records Management and Archives Function 12
ANNEX 4 Punishable Acts Pertinent to Records Care 20
ANNEX 5 RMAO Form No. 1 – Records Inventory and Appraisal 21
ANNEX 6 Sample Budgetary Requirements for a Workshop on Establishing an Archival System 22
ANNEX 7 Records Disposition Schedule for Local Government 23
ANNEX 8 RMAO Form No. 2 – Records Disposition Schedule 51
ANNEX 9 Sample Executive Order Creating the RMIC 53
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The Department of Interior and Local Government (DILG) congratulates the Philippines-Canada Local Government Support Program (LGSP), the Development Academy of the Philippines (DAP) and the Records Management and Archives Office (RMAO) on the publishing of Primer on Establishing a Records and Archives Management Program for Local Government. This publication is a significant and timely contribution to the Department’s continuing efforts to enhance the quality of local governance in the country.
Good local governance is essentially about effective leadership, building partnerships with key stakeholders in the local government unit (LGU), and citizen participation in local planning and decision-making processes. However, it is also about the practical, day-to-day function of managing information, people and resources to ensure improved delivery of services to citizens in the LGU. For Local Chief Executives (LCEs), managing local affairs involves making decisions, documenting actions and communicating information to citizens in the LGU – all of which cannot happen without efficient records and document management.
From collecting tax payments to processing registration of births or healthcare benefits and all other government processes, an effective records management system in the LGU is paramount. LCEs, together with LGU personnel, have a responsibility to create, keep and preserve records or documents that provide evidence of LGU services to their citizens.
This Primer provides a basic guide for LGUs to understand and fulfill their mandate in caring for and managing records and archives, particularly those that have legal, fiscal, historical and cultural value. It features the legal bases and approach that will help LGUs get started in developing a functional, continuing local records and archives management program.
Such a program is necessary to ensure the orderly flow of communication among the various LGU operating units, to save the LGU time and money for records management services, and to protect vital historical and cultural documents. Consequently an effective RAMP serves to improve citizens’ access to and use of information from records in claiming their benefits and entitlements.
We hope that this Primer will serve as an inspiration to LCEs and other local officials in taking the critical step towards using records management as a tool for effective local government management and ultimately, for protecting the rights of its citizens.
Hon. Angelo T. ReyesSecretaryThe Department of the Interior and Local Government (DILG)
Foreword
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AcknowledgementsThis publication was made possible through the dedicated and collective efforts of the following individuals who have willingly shared their ideas, materials and valuable time in conceptualizing and developing this primer;
The Philippines-Canada Local Government Support Program (LGSP) led by Alix Yule and Marion Maceda Villanueva for believing in the project and providing the necessary guidance and support for its production;
The Development Academy of the Philippines (DAP) led by President Eduardo T. Gonzalez for providing collaborative support;
DILG Assistant Secretary Austere Panadero and DILG Provincial Director Ponciano D. Caberte and the Municipal Local Government Operations Officers (MLGOOs) of Camiguin for collaborative support extended to the project;
The Records Management and Archives Office (RMAO) led by Director Marietta R. Chou and the RMAO staff Venecia Maximo, Ronald Umali, Maita Abonales and Nancy Almodovar for their time, support and invaluable technical input;
The rest of the RMAO officers and staff for sharing their training materials and documents in developing the contents of the publication;
Sheila Espine-Villaluz of DAP for writing the primer, Elena Avedillo-Cruz for providing technical direction, and Flordeliza Martin for providing administrative support;
Amie Agbayani for her overall coordination with RMAO and the LGUs of Camiguin;
Myn Garcia for providing editorial support, technical and creative direction and overall supervision of the project;
Sef Carandang for her overall coordination;
Redge Abos for the cover design and layout;
Finally, special thanks to the local government officials and staff of the Province and Municipalities of Camiguin who participated in the capability development program of LGSP and shared their materials and experiences for this primer.
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PrefaceThe Primer on Establishing a Records and Archives Management Program for Local Government is a contribution of the Philippines-Canada Local Government Program (LGSP) to improving the quality of local governance in the country. The Primer represents the collective experience of the Records Management and Archives Office (RMAO) and LGUs they have assisted in establishing a records and archives management system. These LGUs include the provincial and municipal governments of Camiguin Province that acquired technical assistance from RMAO in protecting vital legal and archival records from further loss and destruction through the support of the LGSP in 2002.
Why publish a primer about records management for LGUs? Without accurate records, government cannot operate effectively. In both the government as well as in the private sector, records are created and used on a daily basis to document actions, confirm decisions, identify rights and responsibilities and communicate information. At the local government level, the situation is no different. Local officials and employees rely on records to provide core information for conducting public business.
Yet, it is not uncommon to find records lost, misplaced, forgotten or destroyed in many LGU offices. Further, records pile up faster than they can be acted on or used to complete a simple transaction. Or worse, vital records and archives are lost in the event of an emergency or disaster. The challenge for local government officials and employees, therefore, is to make information from records available in the right format to the right people at the right time. This is what records management is about. It is a vital tool of local officials for making sound and timely decisions that ensure the timely and adequate delivery of services.
With this Primer, LGSP hopes that local executives and managers will appreciate the importance of efficient records management in responsive governance and be able to meet the challenge of establishing an efficient records and archives management system with confidence and adequate knowledge. As a result, they will gain the trust and support of citizens in local governments as working institutions for serving the public interest.
Finally, LGSP would like to thank RMAO and the local government units of Camiguin Province for their partnerships and for sharing their resources, time and expertise in making this Primer possible.
Philippines-Canada Local Government Support Program (LGSP)
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Acronyms
COA Commission on Audit
DECS Department of Education, Culture and Sports
DILG Department of Interior and Local Government
EO Executive Order
FSACS Functional Subject Alphabetic Classification System
LCE Local Chief Executive
LGC Local Government Code of 1991
LGSP Philippines-Canada Local Government Support Program
LGU Local Government Unit
MGC Municipal Government of Catarman
RDS Records Disposition Schedule
RAMP Records and Archives Management Program
RMAO Records Management and Archives Office
RMIC Records Management Improvement Committee
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IntroductionIn November 2001, the Municipality of Catarman in the Province of Camiguin in Northern Mindanao was struck hard by Typhoon Nanang leaving hundreds of families without homes or property. To address the sad plight of its citizens, the Municipal Government of Catarman decided to relocate the flash flood evacuees but encountered a major obstacle — it could not find the deed of donation to the land to be used for relocation.
This is only one story but the lesson is clear – local government units (LGUs) should care for their records as part of their responsibility to protect their citizens’ rights. Yet records management is more than a moral responsibility, it is a legal obligation of LGUs. The law clearly states:
Every local government unit shall provide for the establishment of an archival system to ensure the safety and protection of all government property, public documents or records such as records of births, marriages, property inventory, land assessments, land ownership, tax payments, tax accounts, and business permits, and such other records or documents of public interest in the various departments and offices of the provincial, city, or municipal government concerned. (Section 374, 1991 Local Government Code)
All departments, bureaus, offices of the executive, legislative and judicial branches, including constitutional offices and government-owned and controlled corporations, shall establish and maintain an active, continuing program for the effective management of their records. (Article III, DECS Order No. 13-B, S. 1988)*
It is the responsibility of LGUs to develop and implement a records management program including an archival system. This involves developing and implementing policies and procedures for managing records and archives throughout their life-cycle and establishing a records office/mini archives in the LGU.
Who is the Primer For?The Primer is intended for local chief executives (LCEs), sanggunian members, department heads, record officers and custodians in the various LGU offices or units.
What is the Primer For?The Primer seeks to help LGUs understand and fulfill their statutory mandate in managing public records and archives as a tool for effective local government management and promoting accountability. Specifically, the Primer seeks to serve as a guide for LGU officials and records staff to:
1. understand the purpose of records and archives management,2. recognize the importance of managing records for effective local government management and accountability,
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3. learn the key activities in records care from their creation and maintenance to their disposition,
4. understand the process involved in developing a records and archives management program for the LGU, and
5. gain insights from the experience of the LGUs of Camiguin in records and archives management.
What the Primer ContainsThis Primer is divided into three parts. Part One “Records and Archives Management in Local Government: Principles and Context” discusses the meaning and benefits of caring for LGU records as well as the principles for records creation, maintenance and disposition. It explains why records care is both a public mandate and a management tool that can promote effective management of LGU affairs, accountability and the protection of citizens’ rights. It briefly describes the assistance that can be provided by the Records Management and Archives Office (RMAO) to LGUs on proper records care.
Part Two “Setting Up a Records and Archives Management Program in the LGU” shares the purpose and benefits of a local records and archives management program (RAMP) including steps to establish one in the LGU. It also outlines the executive-legislative leadership support, structures, capabilities and resources needed to implement a records management program, including a vital records program in the LGU.
Part Three “Practices in Local Records and Archives Management: The Camiguin Experience” shares the story of why and how the Province of Camiguin took the first critical step to systematically caring for their records. It also describes the systems and procedures on records creation, maintenance and disposition adopted by LGUs of Camiguin. These practices can guide other LGUs in taking incremental steps to establishing their own records and archives management program.
Finally, the materials used in this Primer came from the various training and informational materials used by the RMAO in assisting LGUs throughout the country. As well, the Primer used the manual and documents of the LGUs of Camiguin that benefited from the capability development program supported by the Philippines-Canada Local Government Support Program (LGSP). The Primer would not have been possible without the support of LGSP and partnership of RMAO.
* The Order remains to be in effect despite the transfer of the responsibility for oversight of government records management from the Department of Culture and Sports (DECS), now known as the Department of Education, to the RMAO under the National Commission on Culture and the Arts.
The annexes cited in this Primer are contained in an accompanying CD entitled Annex to Primer on Establishing a Records and Archives Management Program for Local Government.
PRINCIPLES AND CONTEXTin Local Government
Records & Archives Management
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It is the responsibility of LGUs to manage their records and archives as mandated in the 1991 Local Government Code and DECS Order 13-A and 13-B, S. 1988. This section explains the intent of this responsibility by describing the purpose, principles and benefits of records management as a tool for managing local government, promoting accountability and protecting citizens’ rights.
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Records include all documents that organizations or individuals create or receive in the course of administrative and executive transactions. They contain information that serves as evidence of the organization’s functions, decisions and operations.
While all records contain information, not all sources of information are necessarily records. For example, published books, blank forms and convenience files are not records. They are non-record materials containing information that have no value to management for its decision-making process, and should not be filed or treated as records.
Records are documents created or received by organizations or individuals in the course of administrative and executive transactions.
Archives are records of enduring value selected for permanent preservation
What are records?
What are archives?
Archives or archival materials are records of an organization preserved because of their enduring or continuing value. They are records, usually but not necessarily non-current or inactive records, selected for permanent preservation because they serve as evidence of an organization’s functions over time, e.g. civil registers and real property tax register.
The term is also used to refer to:
• the institution responsible for selecting and preserving archival materials and making them available to the public, e.g. National Archives
• the building or part of a building where archival materials are located, e.g. municipal archives
Records can be identified as archival at the time of their creation but they are usually not transferred to an archival institution for permanent preservation until they have ceased to be of immediate administrative use to the creating organization, e.g. ordinances.
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Public records are broadly defined to include any recorded information, regardless of medium or format, made or received by any government agency in connection with the transaction of public business. They are preserved because of their administrative, legal, fiscal and informational value.
Public records include documents of any physical form or medium or any copy thereof, that has been made by an entity or its successor as evidence of the objectives, organization, functions, policies, decisions, procedures, operation or other activities of government. The form they take can be any of the following:
• paper • book• photograph• motion picture film• microfilm• sound recording• drawing• map
What are public records?
Public records are documents created or received by a government agency in the transaction of public business and have administrative, legal, fiscal and informational value.
LGU officials and employees deal with public records almost everyday (e.g. business permits, correspondence, executive orders, tax payments, and birth certificates). They should care about records and ensure their safety and protection for the following purposes:
1. Records serve as the memory and evidence of the transaction of public business relating to administrative, executive, legal, legislative and fiscal matters in the LGU.
Records offer a “snapshot” or picture of something that happened. As evidence, they are subsequently maintained by or on behalf of those responsible and accountable for the transactions. For example,
Why should LGUs care about records?
Purposes of Records
• Serve as memory and evidence of LGU transactions
• Aid in managing local affairs
• Protect the LGU and its citizens’ rights
• Preserve information of historical or cultural value
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applications for business permit, list of business establishments and business licenses issued serve as memories or evidences of the LGU’s function to support the development of the local business sector in the LGU. In order to provide evidence, records must not be susceptible to change.
2. Records contain information that can aid local decision-makers in ensuring transparency and accountability in managing local affairs.
All LGUs aim to deliver services to its citizens in an efficient, effective and timely manner. Records contain information that is useful in attaining this goal, particularly in:
• formulating local policies and programs• determining what, when and how public funds and resources are
used to deliver services to the citizens• monitoring and evaluating how the LGU’s services responded to
the needs of its citizens at a particular time
Examples of this type of records are resolutions, project reports and annual budgets, among others.
3. Records protect or confirm the legal and financial rights of the LGU and its citizens
Examples of this type of records are municipal treasurer’s account book, birth certificates, land titles and certificates of assessed value of property, among others.
4. Records contain information of historical or cultural value
Examples of this kind of records are maps of Mindanao dating back to the 1800s, documents on the creation and development of a municipality, documents in archaic Chinese script describing ancient trade activities and topographic maps, among others.
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Records management in LGUs refers to the efficient and systematic control of recorded information required in the operation of LGU business and activities. LGU records should be well managed to ensure they are protected for administrative, legal and fiscal purposes and to serve as evidence of the LGU’s work.
LGUs need a records and archives management system so that:
• People who created a record or file can retrieve it fast • People other than the person who created or filed a record can find
what they need • People using LGU records know:
> what they can create, copy or keep> who they can share information with> how long they can keep a particular record> what to do with it after use
• New or temporary staff can learn to use the filing system quickly and easily
• Vital records of the LGU are secured and protected in emergency situations
• Important records of historical and/or cultural value are preserved
What is records management for LGUs?
Records management involves the following actions applied to records:
• creation• retrieval• preservation• storage• transmission• maintenance• use• protection• disposal • retention
Local executives and other local decision-makers can benefit from records and archives management as it enables them to:
1. retrieve information fast (productivity)2. avoid loss or misplacement of files (efficiency)3. save on storage space and costs of filing equipment and supplies
(economy)
What are the benefits of records management to LGUs?
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Benefits of Records Management1. Productivity2. Efficiency3. Economy4. Streamlining5. Accountability6. Transparency
4. control the creation of new records and avoid duplication of services (streamlining)
5. protect records vital to the LGU’s existence and operations (accountability)
6. comply with legal retention requirements for public documents (transparency)
Without records management, vast quantities of inactive records clog up expensive space and it becomes virtually impossible to retrieve important administrative, financial and legal information. This kind of situation hinders the accountability of the LGU and endangers the rights of citizens.
All biological organisms have a life-cycle – they are born, they live and they die. In the same manner, records are created, are used for so long as they have continuing value and are then disposed of by destruction or transferred to a storage area or to an archival institution.
Records are managed according to their “age” or phase, i.e. current or non-current records.
1) Current or active records• records used for the conduct of the current business of the LGU,
e.g. monthly tax payment report• normally maintained in or near their place of origin or a records
office.
2) Non-current or inactive records • records that are very rarely or no longer referred to for the conduct
of current LGU business• must be transferred to a cheaper place such as a storage area or
archival institution or destroyed when they cease to be of value to an office, e.g. LGU annual accomplishment report.
Current records: regularly used, active records
Non-current records: very rarely used, inactive records
What is the life-cycle approach to records management?
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Based on the life-cycle concept, records and archives management in the LGU involves three key activities or operations:
1. Records Creation Records creation is about creating or bringing a record to existence to appropriately document all LGU functions, policies, decisions, procedures and essential transactions.
LGU executives must formulate guidelines to control the creation of all types of LGU records to avoid waste of time, funds and office space.
Types of LGU records that can be created
Directives – guides to inform employees of their work and include policy, procedures and information releases for citizens to observe, e.g. executive orders, ordinances.
Correspondence or mail – any written communication received or sent by the LGU in connection with public business or transactions, e.g. letters from constituents.
Forms – carefully designed documents used to gather or transmit information necessary for operational functions, e.g. invoices, accounting forms, correspondence forms.
Reports – official statements of facts relevant to any activity, operation, program or condition of the LGU, e.g. annual accomplishment report.
What are the key activities in records management?
Key Records Management Activities
Records Creation
Records Maintenance and Use
Records Disposition
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2. Records Maintenance and UseOnce created, a record must be arranged in logical groupings or classified for easy retrieval. LGUs need to design and implement a file classification system or guide, which is a plan for identifying, arranging and filing records. The guide should produce a good filing system that is tailor-made to fit the requirements of the LGU, efficient, economical and simple.
The largest volume of records that LGUs have to maintain are correspondence or mail. LGUs must thus formulate a mail management system for handling:
• electronic mail• incoming mail• outgoing mail
Annex 1 on page 5 of accompanying CD provides a sample Functional Subject Alphabetic Classification System (FSACS).
3. Records DispositionOver time, records become voluminous and require more space, equipment and staff to manage. To minimize the unnecessary piling up of records in their offices, LGUs must develop a records disposition schedule to guide records staff on what records to keep, retire and preserve.
Disposition of records may involve any of the following actions:
• the outright destruction of valueless records by selling, by burying, by shredding or by any other way of destroying them *
• the systematic transfer from office to storage of inactive records that are not needed in day-to-day operation
• the identification and preservation of records of permanent and archival value
LGUs must coordinate with RMAO in the disposition of records. Specifically, they are required under DECS Order No. 13-A, s. 1988, to secure authority from RMAO before destroying or selling any record. Likewise, LGUs must coordinate with RMAO on the custody and preservation of archival materials or records of historical and research value.
*With the passage of the Philippine Clean Air Act of 1999, the burning of record materials has been prohibited. This law supersedes a provision in DECS Order No. 13-A, s.1988 that prescribes the “burning” of valueless records.
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It is the responsibility of the LGU to establish a records management and archival system for the protection and safety of public records as mandated in the:
• 1991 Local Government Code, Section 374• DECS Order No. 13-A and 13-B, s. 1988
Annex 2 on page 7 of accompanying CD contains the full text of DECS Order No. 13-A, s. 1988- Guidelines on the Decentralized Disposal of Valueless Records in Government Agencies. Annex 3 on page 12 of CD contains the full text of DECS Order 13-B, s. 1988 – Rules and Regulations Governing the Coordination of Records Management and Archives Function.
In addition, LGUs must fulfill the following key legal provisions on records and archives management:
1. Management of records in all LGU offices/departments
The 1991 LGC mandates all LGU department heads to perform records management functions. They provide the LCE and Sanggunian members with vital management information contained in the records of various LGU offices. Some of the LGU department heads include the:
• General Services Officer• Administrator• Secretary to the Sanggunian• Planning and Development Officer• Civil Registrar• Treasurer• Assessor• Accountant• Budget Officer• Engineer• Legal Officer• Information Officer• Environment and Natural Resources Officer• Population Officer
What are the legal mandates of LGUs on records and archives management?
LGU Mandates on Records Management
1. Establishment of an LGU archival system
2. Establishment of a records management program in the LGU
3. Management of records in all LGU offices/ departments
4. Creation of a Records Management Improvement Committee
5. Establishment of a Records Office
6. Appointment of a Records Officer
7. Compliance with legal retention period for records
8. Securing RMAO approval for disposal of valueless records
9. Safeguarding of public records
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2. Creation of a Records Management Improvement Committee
All government offices and instrumentalities shall create a Records Management Improvement Committee (RMIC) as an advisory body on the improvement of all phases of records management, the Chairperson and members of which shall be designated by the head of the agency. (Section 2.4, Article III, DECS Order No. 13-B, S. 1988)
3. Establishment of a Records Office
All government offices and instrumentalities shall establish a Records Office for its records holdings and shall coordinate with the RMAO in planning the office lay-out of the Records Unit. (Section 2.2, Article III, DECS Order No. 13-B, S. 1988)
Similarly, Sanggunian bodies are mandated to provide a mechanism and appropriate funds to ensure the safety and protection of LGU property and public documents or records such as those relating to property inventory, land ownership, records of births, marriages, deaths, assessments, taxation, accounts, business permit and such other records and documents of public interest in the offices and departments of the LGU. (Section 447, 458 and 468, 1991 LGC)
4. Appointment of a Records Officer
All government offices and instrumentalities shall appoint a qualified records officer who shall coordinate across the department lines their records activities and shall have the responsibility and control of all the records holdings of the agency in his or her possession and custody. (Section 2.3, Article III, DECS Order No. 13-B, S. 1988)
In many LGUs, the General Services Officer is appointed to serve as Records Officer. S/he shall perform archival and records management with respect to records of offices and departments of the LGU. (Section 490, 1991 LGC)
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5. Compliance with legal retention period for records
LGUs must retain public records in their care according to the prescribed legal retention period established in a Records Disposition Schedule. Retention period is a specific period of time established and approved by the RMAO as the life span of files, after which a given set of files is deemed ready for permanent storage or destruction. (Article II, DECS Order No. 13-A, S. 1988)
6. Securing approval of the RMAO for disposal of records
Government offices shall not destroy or sell any record without having first secured authority from the Director of the RMAO. In addition, all government offices shall observe the General Disposition Record Schedules in determining the disposal of their valueless records. (Article III, DECS Order No. 13-A, S. 1988)
7. Safeguarding public records
Public employees are accountable for records in their keeping or custody. Those who take advantage of their position to destroy, conceal, falsify or alter a document without proper authority shall be penalized under specific provisions of the Revised Penal Code. See Annex 4 on page 20 of accompanying CD.
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What assistance can the RMAO provide LGUs?
The Records Management and Archives Office (RMAO) or National Archives is a government agency under the National Commission on Culture and the Arts. Its mission is to plan, develop and coordinate government programs, policies, rules and regulations governing the use, maintenance, preservation and disposition of current and non-current records as well as records of permanent archival value.
Upon request of the LGU, the RMAO:
• inspects, examines and appraises records of the LGU and determine which records are to be preserved, retired or destroyed as well as their manner of disposition,
• takes responsibility for the custody and preservation of archival materials, and
• develops, conducts and evaluates training programs to improve the competence of LGU personnel engaged in records custody.
To secure assistance from RMAO, LGUs through the LCE, should write to:
The DirectorRecords Management and Archives Office (RMAO)National Library Building, T.M. KalawErmita, Manila 1000Tel. No. (02) 5251407, 5251828Fax No. (02) 5250021, 5216830Email Address: [email protected]
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Program in the LGU
2Records & Archives Management
SETTING UP A
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LGUs are mandated to establish and maintain an active, continuing records and archives management program (RAMP), including measures for the protection of vital records. This section describes the purpose and elements of a RAMP and the steps in developing one that is appropriate to the LGU’s context.
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What is a Records and Archives Management Program (RAMP)? The RAMP is a planned, coordinated set of policies, procedures and activities needed to manage records and archives in the various LGU offices and departments. The program should involve the development and implementation of guidelines and procedures on the creation, maintenance and use, and disposition of LGU records and archives including vital records.
Why should LGUs develop their own RAMP?The RAMP is a governance tool. The lack of a records management system is likely to result in frustration among citizens about the efficiency and reliability of LGU services. For example, a senior citizen comes back to an LGU office on an assigned date to claim a document he/she requested to avail of social welfare benefits only to be told to come back another time because the document requested is not on file, and he/she is required to fill up a new request form.
A. Developing a Records and Archives Management Program
Purposes of a RAMP• make information from records available in the
right format to the right people at the right time• preserve records and archives in an accessible,
intelligible and usable form for as long as they have continuing utility or value
• protect records containing vital information necessary for the LGU to continue its key functions in case of an emergency or disaster
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The RAMP is a Governance Tool• provides information to citizens at the right
time and in the right form• improves citizens’ access to and use of
information from records• preserves records of enduring historical and
cultural value through a planned records management process
• promotes efficient local government management
• improves delivery of services
In improving governance, the RAMP also contributes as an LGU management tool. It can aid the LCE in making informed decisions based on information provided by the various offices under his/her supervision. Without a RAMP, each office or department of the LGU would have its own procedures and requirements for creating, maintaining, using and disposing of records. Such a situation is likely to result in duplication of records and services, productivity loss for executives and staff, or worse, the destruction of vital public records.
The RAMP is an LGU Management Tool• achieves an orderly flow of information within
and among the various LGU offices or units • provides information in the right form at the
right time to local executives and managers for their planning, problem solving and decision-making processes
• reduces expenses for records management services
• eliminates duplication of record keeping services
• protects and secures records from theft or emergencies such as disasters and calamities
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What are the elements of a RAMP?The RAMP consists of systems and procedures on the following elements:
1. the creation, maintenance and use, and disposition of LGU records2. the maintenance and preservation of LGU archives3. the protection of vital records of the LGU
As a component of the RAMP, vital records are records needed by the LGU to continue its key functions under emergency or disaster conditions. LGUs must establish measures to identify and protect vital records as part of the RAMP.
Objectives of a Vital Records Program• identify records needed to conduct business under
emergency operating conditions (first 72 hours following a disaster)
• identify records needed to perform or reconstitute the LGU’s most mission-critical functions
• identify records protecting the legal and financial rights of the LGU, its employees and the people it serves
• develop and implement cost effective methods, including off-site storage and the application of technology, to protect and safeguard those records identified as vital from loss, misuse and unauthorized access or modification
• develop policies, procedures and a plan of action to assess the damage and begin recovery of any record that may be affected by an emergency or disaster, regardless of the medium of the records
What are the steps in developing a RAMP in the LGU?Close coordination is necessary between the LGU and RMAO in establishing a RAMP in the LGU. See Figure 1 for Flowchart on Developing a RAMP.
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LGUs may adopt the following steps in developing the RAMP:
1. Request RMAO Assistance
• The LCE must write a letter to the RMAO Director requesting technical assistance in developing or enhancing the records and archives management system of the LGU.
• Once the request is approved, the RMAO will send its staff to conduct an on-site initial rapid assessment of the LGU’s existing records and archives management system, if any, and determine the needs and problems.
Letter Request to RMAO(Rapid Assessment by RMAO)
Create & organize the Records Management Improvement Committee
(RMIC)
Conduct inventory and appraisal of LGU records
Prepare and submit Records Disposition Schedule to RMAO
Prepare a Records Management Operations Manual
Disseminate manual for implementation in all LGU offices
Training on records management for LGU records personnel
Figure 1. Flowchart on Developing a RAMP
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2. Create LGU Records Management Improvement Committee
• The LCE must issue an Executive Order (EO) creating a Records Management Improvement Committee (RMIC) and designating the members of the RMIC.
• The RMIC is an oversight body that assists the LCE in improving records management activities in the LGU and implementing records management policies and procedures. It is usually composed of all LGU department heads including the designated LGU Records Officer.
• The RMIC is chaired by the LCE, but s/he may delegate this responsibility to a member of the RMIC.
Functions of the RMIC• Plan and formulate a records and archives
management program (RAMP) based on the life-cycle of records, from creation and maintenance to disposition consistent with applicable statutory and regulatory requirements.
• Evaluate and establish the retention periods of the LGU’s records and formulate a Records Disposition Schedule subject to the approval of the LCE and final approval of RMAO.
• Identify and preserve records of continuing value and records of permanent value or retention.
• Develop policies and procedures for repairing damaged records and preventing the loss and unauthorized destruction of records.
• Develop and disseminate directives and operating procedures, as needed, to supplement LGU-wide policy to meet the unique records management needs of the various departments/units of the LGU.
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3. Conduct records inventory and appraisal
• With the RMIC organized, the next step is for the members of the RMIC, the LGU Records Officer, and designated records staff to conduct a records inventory and appraisal of all records in the various LGU offices and departments. The LGU Records Officer is required to accomplish RMAO Form No. 1 - Records Inventory and Appraisal Form for submission to RMAO. See Annex 5 on page 21 of accompanying CD.
• This step is necessary to establish the retention period of records. The retention period is a specified length of time established and approved by the RMAO as the life span of LGU files, after which a given set of files is deemed ready for permanent storage or destruction.
• For example, LGU annual accomplishment reports have a permanent retention period while the report of collection of income has a temporary retention period of five years in active file, 5 years in storage or a total retention period of 10 years.
• If the LGU records personnel do not have the capabilities to undertake the inventory and appraisal of records, the LCE may request RMAO for assistance in the conduct of training on various records management activities and operations. The costs of the training are usually shouldered by the LGU with RMAO providing the trainers.
See Annex 6 on page 22 of accompanying CD for sample budget estimate for a seminar workshop on establishing an archival system.
4. Prepare and submit a Records Disposition Schedule to RMAO
• Based on the inventory and appraisal results, the LGU Records Officer or a designated official must prepare a records disposition schedule (RDS). Also known as a retention schedule, the RDS will assist the LGU in identifying which records are to be:
> retained as active records or for use in everyday operations> stored as temporary records in the LGU records center or office> preserved as permanent records or records of archival value > destroyed as valueless records
A records disposition schedule (RDS) is a written account of the action to be taken with respect to all records maintained by the LGU. It is prepared by the LGU Records Officer and submitted to RMAO for approval before it can be applied or used.
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The LGU Records Officer must have the RDS reviewed and signed by the RMIC Chairperson, the RMAO Records Management Analyst and the LCE before it is submitted to RMAO for approval.
See Annex 7 on page 23 of accompanying CD for the Records Disposition Schedule for Local Government prepared by RMAO to assist LGUs in preparing their own RDS.
See Annex 8 on page 51 of accompanying CD for RMAO Form No. 2 – Records Disposition Schedule.
5. Prepare the Records Management Operations Manual
• The LCE must designate the LGU Records Officer or the RMIC members to prepare the manual through an EO.
• The manual is an essential tool for implementing the RAMP as it contains the policies, guidelines and operating procedures for managing records and archives including vital records.
• The manual also contains the file classification guide and RDS of the LGU.
Records Management Operations Manual• defines the mission and principles of the LGU’s
records management program including policy and procedures
• incorporates applicable government requirements into standard LGU practices
• enumerates basic records management program requirements
• sets forth responsibilities for records management and operating procedures
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6. Disseminate policies, guidelines and procedures to all concerned in the LGU
It is the responsibility of the LGU Records Officer and the RMIC to disseminate the manual and other relevant policies and guidelines on records management to all LGU officials, department heads and staff for their awareness and compliance.
General Outline of a Records Management Operations Manual
I. Title PageII. ForewordIII. Table of Contents
A. Rationale of the Records Management ProgramB. Statement of Policy on Records and Archives ManagementC. Organizational and Functional ChartsD. Systems and Procedures
1. Records Creation2. Records Maintenance and Use
a. Mail Management Operationsb. File Management Operations
3. Records Dispositiona. Transfer of Non-Current Recordsb. Transfer of Permanent Recordsc. Disposal of Valueless Records
IV. AppendicesA. Records Management Improvement CommitteeB. File Classification GuideC. Records Disposition ScheduleD. Forms Used by the LGU
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How can the LGU successfully implement its RAMP? The answer lies in providing LGU department heads and records personnel adequate capacities to implement and sustain the program. These capacities may include policies, operating structures, staff, capacity building and equipment.
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What policy actions are needed to implement the RAMP in the LGU?
The support of both the LCE and the Sanggunian is essential to the successful implementation of the RAMP. They can provide the necessary support to the program by formulating policies relating to records management:
1. Put the RAMP in the Executive and Legislative Agenda or the LGU’s Three-Year Action Program
The best way to ensure the support of the LCE and the Sanggunian for the RAMP is to “put it in the agenda,” specifically the Executive and Legislative Agenda (ELA) of the LGU. The ELA embodies the priority development plans and programs of LGU. The formulation and implementation of the RAMP may be included as a priority concern of Development Administration, one of the key thrusts of the ELA.
2. Appoint the Records Officer and the LGU Archivist
The position of Records Officer is not a mandatory position under the 1991 LGC. However, Section 490 of the 1991 LGC mandates the General Services Officer (GSO) to perform archival and records management with respect to records of all LGU offices and departments. The LCE must issue a directive designating the GSO to be the concurrent Records Officer.
Since the responsibility for archival management requires specialized skills, the LCE may issue a directive designating another LGU officer or staff, e.g. Secretary to the Sanggunian or Civil Registrar to serve as LGU Archivist. Given proper training, the LGU Archivist will be able assist the Records Officer primarily in identifying, maintaining and preserving archival materials of the LGU.
3. Provide the mechanism and appropriations for protection of public documents or records
The Sanggunian may concretize its support for the program by adopting resolutions and ordinances seeking to:
B. Capacities and Resources for Implementing a Records and Archives Management Program
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• Establish the Records Office and Mini Archives which may also be called the Records Center to serve as the LGU’s central record storage and mini archives
• Provide continuing appropriations or funds for the operation of the Records Office/Center including adequate records staff, equipment and supplies
What structures, capabilities and resources are needed to implement the RAMP in the LGU?
To ensure the implementation of the RAMP, the LCE and the Sanggunian should provide the following:
1. LGU Records Office and Mini Archives
The LGU must provide the physical infrastructure and facilities to serve as the Records Office and Mini Archives with adequate low-cost storage area to hold the LGU’s non-current records. If the resources of the LGU will not allow the construction of a building or room, it should look for available space within the LGU’s office building or property.
The LCE may request the technical assistance of the RMAO in determining the appropriate size, layout location, equipment and other specifications of the records office especially the mini archives.
2. Capacity development for LGU managers and staff
To ensure the success of the RAMP, the LGU RMIC, managers and staff with direct responsibility for records care should be trained on records care and management. The LCE may request the RMAO to provide training on records management and archives administration. The costs of the training will have to be considered by the LGU.
Training may be provided by RMAO in the following specific RAMP activities:
• basic records and archives management• establishing an archival system• records and archives counter disaster planning
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• developing a records management operations manual• records center administration• electronic mail management
3. Staff Assignments
In addition to the Records Officer and Archivist, the LCE must allocate funds for the hiring of adequate staff responsible for records management. Or LCE may designate existing staff to serve as a records manager or custodian in each department to ensure LGU-wide implementation of the program.
4. Equipment and Supplies
The LCE must ensure the availability of adequate equipment and supplies which are necessary tools for efficient records keeping. These include:
• filing cabinets or shelves• sorting trays or racks• rubber stamps• logbook or register books• various control forms• staplers and staple removers• letter openers• wrapping and packaging or balling materials• furniture
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The Camiguin Experience
3Local Records & Archives Management:
PRACTICES IN
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This section describes the experience of the Municipal Government of Catarman and the incremental steps it took together with other LGUs of Camiguin towards setting up an active, continuing records and archives management program. It also shares the systems and procedures formulated by the LGUs of Camiguin on records creation, maintenance and disposition. Other LGUs may use the Camiguin experience to gain insights on why and how to take the first step in systematically caring for and managing their records and archives.
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In November 2001, the Municipality of Catarman in the Province of Camiguin was struck hard by Typhoon Nanang leaving hundreds of families without homes or property. To address the sad plight of its citizens, the Municipal Government of Catarman (MGC) decided to relocate the flash flood evacuees but encountered a major obstacle — it could not find the deed of donation to the land to be used for relocation.
While the MGC proceeded to find a solution to their relocation problem, they also recognized and resolved to address a related problem – the lack of an efficient system for caring for and managing the records and archives of the LGU.
The MGC resolved to take steps to prevent any more loss or deterioration of their vital records and archives. It requested the support of the Philippines-Canada Local Government Support Program (LGSP) to get technical assistance from RMAO in establishing a records and archives management system. A memorandum of agreement (MOA) was signed between LGSP and the LGUs in the province of Camiguin to formalize this objective. The assistance involved training on records and archives management for the records personnel of the MGC and other LGUs of Camiguin and the development of a Records Management Operations Manual for the LGUs of Camiguin.
After completing the design and costing requirements of the project, the LGUs of Camiguin agreed to undertake the project together, thus maximizing the resources from LGSP and the LGUs’ counterpart contribution. The process took eight months from the time the MOA was signed to the submission of the RDS to RMAO. The approval of the RDS took another one and half months from the date it was submitted to RMAO. The RDS had to be approved first before it could be used together with the manual and implemented in all the LGU offices.
Similar to the steps in developing a RAMP described in Part Two, Box 1 lists the activities undertaken by the LGUs of Camiguin province including a timeframe.
A. Getting Started: The Catarman Story
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Activities Timeframe
1. Conduct of rapid assessment of existing records and management system in the LGUs by RMAO personnel
Two days per LGU
2. Creation and organization of a Records Improvement Committee through an Executive Order in each LGU
One month
3. Conduct of records inventory and appraisal by each LGU and preparation of the RDS of each LGU
Three months
4. Conduct of training for records personnel of LGUs of Camiguin on:
- records and archives management (5 days)- establishing an archival system (3 days)- developing a records management operations
manual (5 days)
13 days
5. Preparation of the records management operations manual by all LGUs involved in the project
Two months
6. Submission and approval of the RDS of the LGUs One and a half months
7. Implementation of the manual in LGU offices after the approval of the RDS
Box 1. Developing a RAMP for Camiguin LGUs
See Annex 9 on page 53 of accompanying CD for a sample executive order creating the RMIC.
The following pages describe the systems and procedures formulated by the LGUs of Camiguin province on the records management lifecycle: records creation, maintenance and disposition.
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B. Records Creation
The volume of records in the LGU can easily become unmanageable if their creation is not controlled in some way. The following guidelines and criteria were adopted by the LGUs of Camiguin province in controlling the creation of records:
1. NecessityAny paper or document that contributes to the prompt completion of any process in the LGU or which protects the interest of the LGU and its citizens is necessary and must be produced. Any paper not fulfilling this requirement is unnecessary and must not be produced.
2. Clarity and Conciseness Any document should be prepared in the simplest manner possible so it will be easy to understand, use and revise. Use clear and specific words, short and direct sentences and only one subject for a document.
3. SimplicityMethods or procedures for records creation should be simple, easy, fast and cheap to use. The simpler the procedure, the easier it is to control records creation.
4. Quantity Every record created shall be prepared in the necessary number of copies. Back-up or duplicate of records should be done only for selected or certain types of records.
5. Uniformity of FormatThere shall be a uniform format for directives issued by the LCE such as memoranda and orders. There shall likewise be a uniform format for directives issues by departments signed by the respective heads.
6. Uniformity in Number Series FormatThere shall be a uniform number series in all directives such as memoranda and orders. The numbering shall start with the year, followed by a dash and the number which shall start with “1” (one).
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“
“We (the Records Management Improvement Committee) realize just now what RMAO has been telling us about records management. It is truly a long, tedious and hard process ... it would help if there is a section solely devoted to records management ... because the task of evaluating every record and every page of a record needs the experience and knowledge of a seasoned LGU worker. How do you decide what is valuable? What is historical? How do you project what record will have use decades from now? We have been at it for two years now but there is still a roomful of records to go through. We found additional records under the stairs! And we are daily generating more records - truly records management is a continuous process.
Still, what keeps us going is the idea of a time in the near future when we would have all our records neatly catalogued. Then we could retrieve needed records in a jiffy. We have set aside a room in our renovated old municipal hall to serve as records office. A portion of it will also eventually house archived materials. We are happy that the provincial government is keen on pursuing the setting up of an archives office in the Capitol.
Municipal Planning and Development CoordinatorMunicipality of CatarmanProvince of Camiguin
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The LGUs of Camiguin province adopted the following procedures on managing electronic mail, mail operations and directives and managing file operations.
1. Managing Electronic MailIn this age of information and communication technology, LGUs are able to receive and create records faster, cheaper and more accurately. They use electronic tools such as telephone, fax, computers, printers, internet, photocopiers, video, digital camera, for example to store and retrieve electronic records.
Step I. Print Message for retentionStep II. File Printed Message in the same way using Functional Subject
Alphabetic Classification System (FSACS) but in a separate folderStep III. Use three storage system a. On-line - saved in HDD b. Near-line - saved in local drive c. Off-line - using FSACSStep IV. RDS must follow E-Commerce provisionsStep V. Put passwords in place
2. Managing Mail OperationsOfficial mail is any written, printed matter, or any material thing transmitted in connection with the transaction of public business. No official transaction could take place without moving mail. Mail management aims to transmit records in a manner that is accurate, economical and fast. It involves dual mail operations, handling incoming and outgoing mails. The following sections describe the procedures in mail operations developed by the LGUs of the Province of Camiguin.
Handling Incoming Mail
1. All incoming official mail, whether through messengerial or postal service shall be received and registered by the designated Records Officer/Clerk at the Office of the Municipal Mayor or the Municipal Vice-Mayor.
C. Records Maintenance and Use
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2. The desk of the receiving mail clerk shall be properly identified and marked “RECEIVING” so that messengers from other agencies and other offices could easily spot its location.
3. Only authorized personnel shall open sealed envelopes. A directive shall be issued by the LCE or the Municipal Vice-Mayor granting such authority.
4. Before opening a sealed envelope, the receiving mail clerk shall determine if it is “official” or “personal”. Official mail bears the logo of the agency and the position title of the addressee, otherwise, it is considered “personal” mail.
5. The mail clerk shall give priority to non-routine mail over routine or ordinary mail. Non-routine mails are the important ones and need immediate action. The personal ones shall receive the lowest priority.
6. As part of documentation, the mail pieces shall be stamped “RECEIVED” on the lower right corner of the first page with the date, control number and the initial of the receiving mail clerk indicated. Time shall be indicated only when time is significant to a particular mail. (An electronic or an automatic number and date stamping device may be used).
7. A control form such as a Register or Record Book shall be used to record the control number (code number or reference number), date received, the type of mail, sender, address, subject, remarks and action unit having jurisdiction over the matter treated therein. (Same information may be encoded).
8. E-mail and fax mail shall be received and registered at the office units where the computer sets and fax machines are located before they are routed to action units.
9. Documents and packages picked-up shall be delivered to the requesting personnel on the same day. In case the messenger concerned is still out
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on official business after 5:00 o’clock in the afternoon, such documents and packages may be claimed the following day after they have been officially received at the Receiving Unit.
Handling Outgoing Mail
All outgoing mails shall be dispatched from the Messengerial Desk.
1. It shall be the responsibility of the originating unit to ensure the mail piece is ready for dispatching.
2. To avoid being “returned to sender”, letters, parcels and packages must be provided with the complete name of addressee and the correct address with its postal or zip code.
3. As part of the documentation process, letters shall be marked “RELEASED” with the date, reference number and initials of the Records Officer or mail clerk. Information such as reference number, date of the letter, name, address, subject matter, sender, type of messengerial service and date released shall be recorded in a Record Book. (Same information may be encoded).
4. All documents, parcels and packages intended for mailing must be provided with a complete listing and forwarded to the Messenger in its respective unit properly labeled and sealed.
5. Delivery of payments of bills such as CAMELCO, CAMTECO, MWD and other financial transactions incidental to the operations of the LGU shall be given priority by the Municipal Treasurer’s Office.
6. Periodically, the Records Officer/Records Clerk’s Logbook or Record Book for incoming mail shall be checked against the Logbook for outgoing mail to find out if any mail has not been acted upon and needs to be followed up.
Handling Issuances/Directives
1. All issuances/directives including Division Memoranda of agency-wide in scope shall be forwarded to the Records Section for releasing.
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2. All issuances shall be marked “RECEIVED” indicating the date and the initial of the receiving personnel. Documentation of issuances/directives is done by registering/indicating the type, number, date of issue, title, subject matter, and other relevant information.
3. The Records Officer or Clerk shall reproduce as many copies as needed for routing. One copy shall go to the Central Files and shall be stamped “FILE” before filing.
4. The Personnel Section shall be furnished with a copy of the issuances/directives regarding assignment and conduct for the 201 file of the personnel concerned.
5. To facilitate retrieval, an index card (with size 3” x 5”) shall be prepared for each issuance/directive, with information similar to that used in the register. The information may be encoded electronically.
3. Managing File OperationsMisfiling is a problem in every office. In filing, the emphasis should be more on the “finding” rather than the “storing” aspect for purposes of practicability and convenience. The basic objectives in the file operations are efficiency and economy. To achieve these objectives, the following standard operating procedures are adopted:
Before Filing
1. Inspect the file whether it is ready for filing. Check whether all actions on the communications have been complied with and/or acted upon.
2. Examine the page sequence of the material including, if any, enclosures or attachments mentioned in the communication.
3. Index and determine the main and minor subjects under which the file material will be filed.
4. Cross-reference and determine the subjects if more than one subjects under which the file material will be filed. For Cross-referencing, a cross-referencing sheet will be used indicating what subject category the file material will be filed.
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5. Write clearly and legibly the complete filing designation on the upper right hand corner of the paper.
Filing Procedures
1. Use different guide tabs to indicate the divisions, subdivisions and classifications.
2. Use color codes on files as well as tab positions to aid in filing and locating files. The following color coding shall be adopted:
PRIMARY – Red; SECONDARY – Yellow; TERTIARY – Green.
3. File each document under the proper classification with the newest addition on top or in front of the contents in its respective folder.
4. File documents regularly, everyday or on alternative days; do not allow materials to be filed to pile up.
5. Keep all materials together so that the history of the dealings of an agency or individual will be available in one place.
6. File bulky materials separately in appropriate storage lockers or suitable shelves. They should be clearly marked, systematically and kept clean and dusted.
Servicing with Files
1. No one except the authorized personnel shall be permitted access to the files.
2. Requisitions for materials on file shall be made in writing on forms provided for the purpose. The File Requisition form must be filled up before taking out materials on file. See Box 2.
3. All records removed from the files shall be recorded. A standard charge-out form shall be used in borrowing a file.
4. A charge-out system shall be used to determine where a record could be located after it has been taken out from the files to ensure return. This card shall be filed in place of the borrowed material.
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Republic of the PhilippinesProvince of Camiguin
Municipality of _______
FILE REQUISITION FORM
Date: _____________________________Subject/Title of File Requested:____________________________________
Requested by: _____________________________________Received by: _______________________________________Due Date: _________________________________________Remarks:____________________________________________________________________________________________________________________________
Signature of Records Custodian:_______________________________
Box 2. File Requisition Form
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D. Records DispositionWith the guidance of RMAO, the LGUs of Camiguin province that participated in the project were able to develop their own records disposition schedule. They will use the approved RDS together with the following guidelines and procedures to ensure the effective disposition of records.
1. Retention All records that are absolutely needed in the day-to-day operations of the
LGU department must be retained. Such records include those that deal with completed business but are to be used as reference in continuing agency transactions.
2. Preservation Permanent records shall be preserved and given special treatment to prevent
their loss, destruction, mutilation and the like to maintain its originality, integrity and reliability.
3. Transfer Records which are no longer referred to and whose retention period is five
(5) years and above but whose retention period has not yet expired shall be transferred to the storage area for non-current records. Non-current records are records that deal with completed business but are no longer needed in the day-to-day operations of the agency. The storage area may be located in the office itself or in a place where records are well-protected.
a. Records shall be transferred to the storage area for non-current, permanent and archival records as prescribed in the approved LGU records disposition schedule.
b. All records to be transferred shall be reviewed and recommended for approval by the RMIC and duly approved by the LCE.
c. A transmittal form shall be used for the transfer of records to be requested by the agency concerned.
d. Records to be transferred shall be properly bundled or wrapped and marked with information such as record series, period covered and originating department.
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4. Disposal All valueless records or files that have reached their retention limit shall be
disposed of in the following manner:
a. A request for authority to dispose records shall be accomplished using the form prescribed by the RMAO (Form No. 3) duly approved by the LCE.
b. All records pertaining to claims and demands by the LGU either as debtor or creditor and those that are required to be audited by the Commission on Audit (COA) shall not be destroyed or disposed of without necessary clearance from the COA.
c. All records shall be disposed of by burying and/or selling.
d. The LGU shall conduct a public bidding for the sale of valueless records and shall furnish RMAO a copy of the contract. It may also avail of the services of the RMAO Official Buyer of valueless records.
e. The actual disposal of valueless records shall be witnessed by representatives from RMAO, COA and the LGU agency/department concerned.
f. A certificate of disposal (RMAO form No. 6) shall be prepared in triplicate indicating the records series, manner, volume of records dispose of, date and place of disposal. The RMAO form No. 6 should be filed in an appropriate and timely fashion.
The LGUs of Camiguin took the initial but critical step to setting up a records and archives management program. They developed their own policies, system and procedures for managing records throughout their life-cycle. The next crucial step is to adopt the necessary policies and build the competencies and skills of their records personnel to ensure the proper care of records and archives, including vital records.
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It is the responsibility of LGUs as mandated by the 1991 Local Government Code and DECS Orders 13-A and 13-B, S. 1988 to establish and maintain an active, continuing records management program including an archival system in their LGU. The program involves policies, systems and procedures for the creation, maintenance, use and disposition of records and archives throughout their life-cycle. It ensuress the safety and protection of LGU records and archives to serve administrative, executive, legal, fiscal, historical and cultural purposes.
To successfully implement the program, it is not enough for LGU executives to understand the key activities involved in records and archives management. More importantly, they should provide the necessary political, policy and financial support which may include but are not limited to the following:
• creation of an LGU Records Management Improvement Committee• establishment and maintenance of an LGU Records Office and Mini Archives • appointment of an LGU Records Officer and Archivist• capacity development of LGU records personnel• adequate staff, supplies and equipment for managing records and archives
Finally, LGU executives and records staff must remember that records management is not simply an additional administrative and financial burden. If used effectively, it can be a tool for effective local government management, promoting accountability and protecting citizens’ rights.
Summary
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References
DECS Order No. 13-A, S. 1988, Guidelines on the Decentralized Disposal of Valueless Records in Government Agencies
DECS Order No. 13-B, S. 1988, Rules and Regulations Governing the Coordination of Records Management and Archives Function
Local Government Units of Camiguin Province, Manual on Records Management Operations of Local Government Units, January 2003.
Municipal Government of Catarman, Province of Camiguin, Records Disposition Schedule, February 2004
Record Management and Archives Office (RMAO), Training Division:
Sample Functional Subject Alphabetic Filing System, February1998
Seminar Workshop on Records and Archives Management for the Local Government Units of Camiguin Province, August 26-30 2002, Duminikaw Transients’ Lodge, Manuyog, Sagay, Camiguin
Seminar Workshop on Establishing Archival Systems for Local Government Units, November 5-7, 2002, Duminikaw Transients’ Lodge, Manuyog, Sagay, Camiguin
Seminar Workshop on the Establishment of Records Management Operations Manual for Local Government Units, January 13-16, 2003, Golden Peak Hotel, Cebu City
Republic of the Philippines, The Local Government Code of 1991
