Primer on Records and Archives Management for Local Government

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<p>Records &amp; Archives Management ProgramFOR LOCAL GOVERNMENT</p> <p>Primer on Establishing a</p> <p>Primer on Establishing a Records and Archives Management Program for Local Government Copyright 2004 Philippines-Canada Local Government Support Program (LGSP) and Development 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 Organization DAP Building, San Miguel Avenue, Pasig City 1600 Philippines Tel. Nos. (632) 631 0921 to 30 Fax No. (632) 631 2123 www.dap.edu.ph Philippines-Canada Local Government Support Program (LGSP) Unit 1507 Jollibee Plaza Emerald Avenue, Pasig City 1600 Philippines Tel. Nos. (632) 637 3511 to13 www.lgsp.org.ph This project was undertaken with the financial support of the Government of Canada provided through the Canadian International Development Agency (CIDA)</p> <p>A JOINT PROJECT OF</p> <p>Department of the Interior and Local Government (DILG)</p> <p>National Economic and Development Authority (NEDA)</p> <p>Canadian International Development Agency</p> <p>IMPLEMENTED BY</p> <p>Agriteam Canada www.agriteam.ca</p> <p>Federation of Canadian Municipalities (FCM) www.fcm.ca</p> <p>ContentsForeword 7 Acknowledgements 9 Preface 11 Acronyms 13 Introduction 15 I. Records and Archives Management in Local Government: Principles and Context 17 What are records? 19 What are archives? 19 What are public records? 20 Why 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? 26 What 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)? 33 Why should LGUs develop their own RAMP? 33 What are the elements of a RAMP? 35 What 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 47 B. Records Creation 49 C. Records Maintenance and Use 51 Managing Electronic Mail 51 Managing Mail Operations 51 Managing File Operations 54 D. Records Disposition 57 Summary 59 References 60</p> <p>List of Figures and Boxes Figure 1. Box 1. Box 2. Flowchart for Developing a Records and Archives Management Program (RAMP) 36 Developing a RAMP for Camiguin LGUs 48 File Requisition Form 56</p> <p>Annexes (The Annexes of this primer are contained in the enclosed CD Rom) ANNEX 1 ANNEX 2 ANNEX 3 ANNEX 4 ANNEX 5 ANNEX 6 ANNEX 7 ANNEX 8 ANNEX 9 Sample Functional Subject Alphabetic Filing System 5 DECS Order No. 13-A, S. 1988 Guidelines on the Decentralized Disposal of Valueless Records in Government Agencies 7 DECS Order No. 13-B, S. 1988 Rules and Regulations Governing the Coordination of Records Management and Archives Function 12 Punishable Acts Pertinent to Records Care 20 RMAO Form No. 1 Records Inventory and Appraisal 21 Sample Budgetary Requirements for a Workshop on Establishing an Archival System 22 Records Disposition Schedule for Local Government 23 RMAO Form No. 2 Records Disposition Schedule 51 Sample Executive Order Creating the RMIC 53</p> <p>6</p> <p>ForewordThe 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 Departments 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.</p> <p>Hon. Angelo T. Reyes Secretary The Department of the Interior and Local Government (DILG)</p> <p>7</p> <p>8</p> <p>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.</p> <p>9</p> <p>10</p> <p>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.</p> <p>Philippines-Canada Local Government Support Program (LGSP)</p> <p>11</p> <p>12</p> <p>AcronymsCOA DECS DILG EO FSACS LCE LGC LGSP LGU MGC RDS RAMP RMAO RMIC Commission on Audit Department of Education, Culture and Sports Department of Interior and Local Government Executive Order Functional Subject Alphabetic Classification System Local Chief Executive Local Government Code of 1991 Philippines-Canada Local Government Support Program Local Government Unit Municipal Government of Catarman Records Disposition Schedule Records and Archives Management Program Records Management and Archives Office Records Management Improvement Committee</p> <p>13</p> <p>14</p> <p>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,</p> <p>15</p> <p>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 Contains This 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...</p>