Primer on Establishing a
Records & Archives Management Program FOR LOCAL GOVERNMENT
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 971-576-014 971-576-014-7 -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) Philippines-Canada 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 nancial support of the Government of Canada provided through the Canadian International Development Agency (CIDA)
A JOINT PROJECT OF
Department of the Interior and Local Government (DILG)
National Economic and Development Authority (NEDA)
IMPLEMENTED BY
Agriteam Canada www.agriteam.ca
Federation of Canadian Municipalities (FCM) www.fcm.ca
Canadian International Development Agency
Contents Foreword 7 Acknowledgements 9 Preface 11 Acronyms 13 Introduction 15
I. Records and Archives Management Management in Local Government: Government: Principles and Context
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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 benets 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 Archives Management Management Program in the LGU
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A. Developing a Records and and Archives Archives Management 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: Management: The Camiguin Experience 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
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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 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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Foreword 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 Ofce (RMAO) on the publishing of Primer on Establishing a Records and Archives Management Program for Local Government. Government. This publication is a signicant 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 efcient records and document management. From collecting tax payments to processing registration of births or healthcare benets 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 fulll their mandate in caring for and managing records and archives, particularly those that have legal, scal, 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 ow 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 benets and entitlements. We hope that this Primer will serve as an inspiration to LCEs and other local ofcials 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. Reyes Secretary The Department of the Interior and Local Government (DILG)
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Acknowledgements This 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 Ofcers (MLGOOs) of Camiguin for collaborative support extended to the project; The Records Management and Archives Ofce (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 ofcers 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 ofcials 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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Preface The 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 Ofce (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, conrm decisions, identify rights and responsibilities and communicate information. At the local government level, the situation is no different. Local ofcials and employees rely on records to provide core information for conducting public business. Yet, it is not uncommon to nd records lost, misplaced, forgotten or destroyed in many LGU ofces. 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 ofcials 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 ofcials 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 efcient records management in responsive governance and be able to meet the challenge of establishing an efcient records and archives management system with condence 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 Classication 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 Ofce
RMIC
Records Management Improvement Committee
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Introduction In 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 ash ood evacuees but encountered a major obstacle — it could not nd 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 ofces of the provincial, city, or municipal government concerned. (Section 374, 1991 Local Government Code) All departments, bureaus, ofces of the executive, legislative and judicial branches, including constitutional ofces 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 ofce/mini archives in the LGU.
Who is the Primer For? The Primer is intended for local chief executives (LCEs), sanggunian members, department heads, record ofcers and custodians in the various LGU ofces or units. What is the Primer For? The Primer seeks to help LGUs understand and fulll their statutory mandate in managing public records and archives as a tool for effective local government management and promoting accountability. Specically, the Primer seeks to serve as a guide for LGU ofcials 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 records and archives management.
The annexes cited in this Primer are contained in an accompanying CD entitled Annex entitled Annex to Primer on Establishing a Records and Archives Management Program for Local Government.
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 benets 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 briey describes the assistance that can be provided by the Records Management and Archives Ofce (RMAO) to LGUs on proper records care. Part Two “Setting Up a Records and Archives Management Program in the LGU” shares the purpose and benets 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 rst 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 beneted 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.
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Records & Archives Management
in Local Government PRINCIPLES AND CONTEXT
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 benets of records management as a tool for managing local government, promoting accountability and protecting citizens’ rights.
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What are records? Records include all documents that organizations or individuals create or receive in the course of administrative and executive transactions. transactions. They contain information that ser ves as evidence of the organization’s organization’s functions, decisions and operations.
Records are documents created or received by organizations or individuals in the course of administrative and executive transactions.
While all records contain information, not all sources of information are necessarily records. For example, published books, blank forms and materials ls convenience les are not records. They are non-record materia containing information that have no value to management for its decisionmaking process, and should not be led or treated as 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 ser ve as evidence of an organization’s organization’s functions over time, e.g. e.g. civil registers and real property tax register.
Archives are records of enduring value selected for permanent preservation
The term is also used to refer to: •
the institution responsible for selecting and preserving archival archival materials and making them available to the public, e.g. National Archives • the building building or part of a building where archival archival materials materials are located, e.g. municipal archives Records can be identied as archival at the time of their creation but they th ey are usually not transferred to an archival institution for permanent preser vation until they have ceased to be of immediate administrative administrative use to the creating organization, e.g. ordinances.
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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, scal and informational value.
Public records are broadly dened to include any recorded information, regardless of medium or format, made or received by any government agency in connection with the t he transaction of public business. They are preserved because of their administrative, legal, scal 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 it s successor as evidence evidence of the objectives, organization, 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 lm microlm sound recording drawing map
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
LGU ofcials and employees deal with public records almost everyday (e.g. business permits, correspondence, executive orders, tax payments, and bir th certicates). 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 scal 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,
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applications for business permit, list of business establishments and applications 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 accounta accountability bility in managing local affairs. All LGUs aim to deliver services to its citizens in an efcient, effective and timely manner. Records contain information that is useful in attaining this goal, particularly in: • • •
formulatin g local policies and programs formulating determining determinin g what, when and how public funds and resources are used to deliver services to the citizens monitoring monitorin g and evaluating how the LGU’s servi services ces responde responded d to the needs of its citizens at a par ticular time
Examples of this type of records are resolutions, project reports and annual budgets, among others. 3. Records protect or conrm the legal and nancial rights of the LGU and its citizens Examples of this type of records are municipal treasurer’s treasurer’s account book, birth certicates, cert icates, land titles and certicates of assessed value of property, among others. 4. Records contain informat information ion 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 development of a municipality, documents in archaic Chinese script describing ancient trade activities and topographic maps, among others.
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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
Records management management in LGUs refers to the efcient ef cient 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 scal purposes and to serve as evidence of the LGU’s work. LGUs need a records and archives management system so that: • • •
People who created created a record record or le can retrieve it fast People other than the person who who created or led a record can nd what they need People using LGU records know: > > > >
• • •
what they can create, create, copy copy or keep who they can share information with how long they can keep a particular record record what to do with with it after use
New or temporary staff can learn to use the ling system quickly and easily Vital records of the LGU are are secured secured and protected in emergency situations Important records of historical historical and/or and/or cultural cultural value are preserved preserved
What are the benets of records management to LGUs? Local executives and other local decision-makers can benet from records and archives management management as it enables them to: 1. retrieve information fast (productivity) 2. avoid loss or misplaceme misplacement nt of les les (efciency) 3. save on storage space and costs of ling equipment and supplies (economy)
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4. control the creation creation of new records records and avoid avoid duplication duplication of services (streamlining) 5. protect records vital to the LGU’ LGU’ss existence and and operations (accountability) 6. comply with with legal retention retention requirements requirements for public public documents documents (transparency) Without records management, vast quantities of inactive records clog up expensive space and it becomes virtually impossible to retrieve important administrative,, nancial and legal information. This kind of situation hinders administrative the accountability of the LGU and endangers the rights of citizens.
Benets of Records Management 1. Productivity 2. Efciency 3. Economy 4. Streamlining 5. Accountability 6. Transparency
What is the life-cycle approach to records management? All biological organisms organisms have a life-cycle life-c ycle – 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.
Current records:
regularly used, active records
Non-current records: very rarely used, inactive records
Records are managed according to their “age” or phase, i.e. current or noncurrent records. 1) Current or active records • records used for for the conduct conduct of the current business of the LGU, LGU, e.g. monthly tax payment report • normally maintained in or near their place of of origin or a records ofce. 2) Non-current or inactive inactive records • records that are very rarely or no longer referred referred to for for the conduct of current LGU business • must be transferred to a cheaper cheaper place such as as a storage area or archivall institution or destroyed when they cease to be of value to archiva an ofce, e.g. LGU annual accomplishment report.
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What are the key activities in records management? Key Records Management Activities Records Creation Records Maintenance and Use Records Disposition
Based on the life -cycle concept, records and archives management management in the LGU involvess three key activities or operations: involve 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 guidelines to control the creation of all types of LGU records to avoid waste of time, funds and ofce 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, policy obser ve, e.g. executive orders, ordinances. Correspondence or mail – any written Correspondence writ ten communication communication received or sent by the LGU in connection with public business or transactions, e.g. letters from constituents. Forms – carefully designed documents documents used to gather or transmit information necessary for operational functions, e.g. invoices, invoices, accounting accounti ng forms, correspondence forms. Reports – ofcial statements of facts relevant to any activity, activit y, operation, operation, program or condition of the LGU, e.g. annual accomplishment report.
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2. Records Maintenance and Use Once created, a record must be arranged in logical groupings groupings or classied for easy retrieval. LGUs need to design and implement a le classication system or guide, which is a plan for identifying, arranging and ling records. The guide should produce a good ling system that is tailor-made to t the requirements of the LGU, efcient, 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 Classication System (FSACS).
3. Records Disposition Over time, records become voluminous and require more space, equipment and staff to manage. To minimize minimize the unnecessary piling up of records in their ofces, LGUs must develop a records disposition schedule to guide records staff on what records to keep, 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 ofce to storage of inactive records that are not needed in day-to-day operation the identication and preservation of records of permanent and archival 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.
LGUs must coordinate with RMAO RM AO in the disposition of records. Specically, they are required under DECS Order No. 13- A, s. 1988, to secure authority from RMAO RM AO before destroying or selling any record. Likewise, Likewise, LGUs must coordinate with RMAO on the custody and preservation preser vation of archival materials or records of historical and research value.
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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 ofces/ departments 4. Creation of a Records Management Improvement Committee 5. Establishment of a Records Ofce 6. Appointment of a Records Ofcer 7. Compliance with legal retention period for records 8. Securing RMAO approval for disposal of valueless records 9. Safeguarding of public records
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, Secti 1991 Section on 37 374 4 DECS Order Order No. No. 1313- A and and 1313- B, s. 1988 1988
on page 7 of accompanying CD contains the full text of DECS Order No. 13-A, s. 1988Guidelines 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.
Annex 2
In addition, LGUs must fulll the following key legal provisions on records and archives management: 1. Management of records in all LGU ofces/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 ofces. Some of the LGU LGU department heads include the: • General Services Ofcer • Administrator • Secretary to the Sanggunian • Planning and Developme Development nt Ofcer • Civil Registrar • Treasurer • Assessor • Accountant • Budget Ofcer • Engineer • Legal Ofcer • Information Ofcer • Environme Environment nt and Natural Resources Ofcer • Popula Population tion Ofcer
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2. Creation of a Records Management Improvement Improvement Committee
All government ofces and instrumentalities shall create a Records Management Improvement Improvement Committee (RMIC) (RMI C) as an advisory body on the improvement of all phases of records management, the Chairperson and members of which shall be designated by th e head of the agency. (Section 2.4, Article III, DECS Order No. 13-B, S. 1988) 3. Establishmen Establishmentt of a Records Ofce
All government ofces and instrumentalities shall establish a Records Ofce for its records holdings and shall coordinate with the RM AO in planning the ofce lay-out 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 inventory,, land ownership, records of births, marriages, deaths, assessments, taxation, accounts, business permit and such other records and documents of public interest in the ofces and departments of the LGU. (Section 447, 458 and 468, 1991 LGC) 4. Appointm Appointment ent of a Records Records Ofcer
All government ofces and instrumentalities shall appoint a qualied records ofcer 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. custody. (Section 2.3, Article III, DECS Order No. 13-B, S. 1988) In many LGUs, the General Services Ofcer is appointed to serve as Records Ofcer. S/he shall per form archival and records management with respect to records of ofces and depar tments 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 Disposition Schedule. Retention Retention period is a specic period of time established and approved by the RMAO as the life span of les, after which a given set of les 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 ofces shall not destroy or sell any record without having rst secured authority from the Director of the RMAO. In addition, all government ofces shall observe the General Disposition Record Schedules in determining the disposal of their valueless records. Article III, DECS Order No. 13-A, S. 1988) ( Article 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 specic 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 Archives Ofce ( RMAO) or National Archives is a government agency under the National Commission Commission on Culture and the Arts. Its mission is to plan, develop and coordinate coordinate government programs, programs, policies,, rules policies r ules 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: RM AO: •
• •
inspects, examines examines and appraises records of of the LGU LGU and determine which records are to be preserved, preser ved, retired or destroyed as well as their manner of disposition, takes responsibil responsibility ity for the custody custody and preservation of archiva archivall 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 Director Records Management Management and Archives Ofce (RM AO) National Library Building, T.M. Kalaw Ermita, Manila 1000 Tel. No. (02) 5251407, 5251828 Fax No. (02) 5250021, 5216830 Email Address:
[email protected]
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2 SETTING UP A
Records & Archives Management
Program in the LGU
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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 t he LGU’s context.
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A. Developing a Records and Archives Management Program What is a Records and Archives Management Program (RAMP)? The RAMP R AMP is a planned, coordinated set of policies, procedures procedures and activities needed to manage records and archives in the various LGU ofces 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.
Purposes of a RAMP • make informat information ion from records available in the right format to the right people at the right time • preser preserve ve 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
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 efciency and reliability of LGU services. For example, a senior citizen comes back to an LGU ofce on an assigned date to claim a document he/she requested to avail of social welfare benets only to be told to come back another time because the document requested is not on le, and he/she is required to ll up a new request form.
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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 efcient local government management • improv improves es delivery of services
In improving governance, governance, the RAM RAMPP also contributes as an LGU management tool. It can aid the LCE in making informed decisions based on information provided by the various ofces under his/her supervision. Without a RAMP RA MP,, each ofce or department depart ment 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 • achiev achieves es an an orderly orderly ow of information information within and among the various LGU ofces or units • provides information in the right form 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 RA MP consists of systems and procedures on the following elements:
1. the creation, maintenanc maintenancee and use, use, and disposition of LGU records 2. the mai maintenance ntenance and preservation preservation of LGU archives 3. the protection of vital records of the LGU As a component of the R AMP AMP,, vital records are records needed by the LGU to continue its key functions under emergency or disaster conditions. LGUs must establish measures measures to identify and protect vital records as part of the RA MP MP..
Objectives of a Vital Records Program • identify records records needed to conduct business under emergency operating conditions (rst 72 hours following a disaster) • identify records records needed to perform or reconstitute the LGU’ss most mission-critical functions LGU’ • identify records records protecting the legal legal and nancial rights of the LGU, its employees and the people it serves • develop and implement cost effective methods, including off-site storage and the t he application of technology, to protect and safeguard those records identied as vital from loss, misuse and unauthorized access or modication • 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, disaster, regardless of the medium of the records
What are the steps in developing a RAMP in the LGU? Close coordination coordination is necessary between bet ween the LGU and RMAO in establishing a RAMP in the LGU. See Figure 1 for Flowchart on Developing a RA MP.
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LGUs may adopt the following steps in developing the RAMP:
1. Request RMAO Assistance •
•
The LCE LCE must write a letter to the RMAO Director requesting requesting technical technical assistance in developing or enhancing the records and archives management system of the LGU. Once the request is approve approved, d, the RMAO will send its staff to conduct 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.
Figure 1. Flowchart on Developing a RAMP
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 ofces
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Training on records management for LGU records personnel
2. Create LGU Records Managemen Managementt Improvement Committe Committeee •
•
•
The LCE LCE must must issue an Executive Executive Order Order (EO) creating creating a Records Management Managem ent Improvement Improvement C ommittee (RMIC ) and designating the members of the RMIC. The RMIC is an oversight oversight body body that assists assists the LCE 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 Ofcer Of cer.. The RMIC is chaired by the LCE, but s/he may may delegate this responsibility responsibil ity to a member of the RMIC.
Functions of the RMIC • Plan and formulate a records and archives management program (RAMP) based on the lifecycle of records, from creation and maintenance to disposition consistent with applicable statutory and regulatory requireme requirements. nts. • Evaluate and establish the retention retention periods of the LGU’s records and formulate a Records Disposition Schedule subject to the approval of the LCE and nal 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 procedures policy to meet the unique records management management needs of the various departments/units of the LGU.
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3. Conduct records inventory and appraisal •
With the RMIC organized, organized, the next step is is for the members members of the RMIC, the LGU Records Ofcer, Ofcer, and designated records staff to conduct a records inventory and appraisal of all records in the various LGU ofces and departments. The LGU Records Ofcer 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 specied length of time established and approved by the RMAO as the life span of LGU les, after which a given set of les is deemed ready for permanent storage or destruction. • For example, LGU annual accomplishment reports report s have a permanen permanentt retention period while the report of collection of income has a temporary retention period of ve years in active le, 5 years in storage or a total retention period of 10 years. • If the LGU LGU records personnel do not have the capabilities 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 shouldered by the LGU with RM AO providing the trainers.
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 Ofcer and submitted to RMAO for approval before it can be applied or used.
See Annex 6 on page 22 of accompanying CD for sample budget estimate for a seminar workshop on establishing an archival archival system.
4. Prepare and and submit submit a Records Records Disposition Disposition Schedule to RMAO •
Based on the inventory inventory and appraisal appraisal results, the LGU Records Records Ofcer or a designated ofcial 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: > > > >
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retained as active records records or for use in everyday operations operations stored as temporary temporary records in the LGU records center center or ofce preserved as permanent permanent records or records of archival archival value value destroyed as valueless records
The LGU Records Ofcer must have the RDS reviewed and signed by the RMIC Chairperson, the RMAO Records Management Analyst and the LCE before it is submitted to RM AO for approval. approval. See Annex 7 on page 23 of accompanying CD for the R ecords Disposition Schedule for Local Government prepared prepared by RM AO to assist LGUs in preparing their own RDS. See Annex 8 on page 51 of accompanying accompanying CD for RM AO Form No. 2 – Records Disposition Schedule. S chedule.
5. Prepare the Records Records Management Management Operations Operations Manual Manual • •
•
The LCE LCE must must designate designate the LGU Records Ofcer or the RMIC members to prepare the manual through an EO. The manual manual is an essential tool for for implementing implementing the RA RAMP MP as it contains the policies, guidelines and operating procedures for managing records and archives including vital records. The manual manual also contains contains the le classication classication guide guide and RDS of the LGU.
Records Management Operations Manual • denes the mission mission and principles of the LGU’ LGU’ss records management program including policy and procedures • incorporates applicab applicable le government requirements into standard LGU practices • enumerates basic records management program requirements • sets forth responsibilities 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 responsibility of the LGU Records Records Ofcer and the RMIC to disseminate disseminate the manual and other relevant policies and guidelines on records management to all LGU ofcials, department heads and staff staf f for their awareness and compliance. compliance.
General Outline of a Records Management Operations Manual
I. II. III.
IV.
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Title Page Foreword Table of Contents A. Rationale of the Records Records Management Management Program Program B. Statement of Policy on Records and and Archives Management C. Organizational and Functional Charts D. Systems and Procedures 1. Records Creation 2. Records Maintenance and Use a. Mail Management Operations b. File Management Operations 3. Records Disposition a. Transfer of Non-Current Records b. Transfer of Permanent Records c. Disposal of Valueless Records Appendices A. Records Management Improvement Committee B. File Classication Guide C. Records Disposition Schedule D. Forms Used by the LGU
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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B. Capacities and Resources for Implementing a Records and Archives Management Program 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 implementatio n of the R AMP AMP.. 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 Legislative Agenda or the LGU’s LGU’s Three-Year Three-Year Action Program The best way to ensure the support of the LCE and the Sanggunian for the RAMP RA MP is to “put it in the agenda,” specically specically the Executive and Legislative Agenda (ELA) of the LGU. The ELA embodies the priority developm development ent plans and programs of LGU. The formulation and implementation of the R AMP may be included as a priority concern of Development Administration, one of the key thrusts of the ELA. 2. Appoint the Records Ofcer and the LGU Archivist Archivist The position of Records Ofcer Of cer is not a mandatory position under the 1991 1991 LGC. However, Section 490 of the 1991 LGC mandates the General Services Ofcer (GSO) to perform archival and records management management with respect to records of all LGU ofces and departments. The LCE must issue a directive designating the GSO to be the concurrent Records Ofcer. Since the responsibil responsibility ity for archival management requires specialized specialized skills, the LCE may issue a directive designating another LGU ofcer or staf f, e.g. 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 Ofcer primarily in identifying, maintaining and preserving archival materials of t he LGU. 3. Provide the mechanism mechanism and and appropriations for protection of public public documents documents or records The Sanggunian may concretize its support for the program by adopting resolutions and ordinances seeking to:
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•
•
Establish the Records Ofce 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 Ofce/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 implementation of the RA RAMP MP,, the LCE and the Sanggunian should provide the following: 1. LGU Records Ofce and Mini Archives The LGU must provide the physical infrastructure and facilities to ser ve as the Records Ofce 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 ofce building or property. The LCE may request the technical assistance of the RMAO in determining the appropriate size, layout location, equipment equipment and other specications of the records ofce especially the mini archives. 2. Capacity development development for LGU LGU managers managers and staff To ensure ensure the success of the RAMP R AMP,, the LGU RMIC, RMI C, managers and staff with direct responsibility for records care should be trained on records care and management.. The LCE may request the RM AO to provide training on records management management and archives archives administration. The costs of the training will have to be considered by the LGU. Training Tra ining may be provided by RMAO in the following specic RA MP activities: • • •
basic records and archives management establishing establishin g an archival system records and archives counter disaster planning
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• • •
developing a records management operation operationss manual records center administration electronic mail management
3. Staff Assignments In addition to the Records Ofcer 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 custodian in each department to ensure LGU- wide implementation of the program. 4. Equipment and Supplies The LCE must ensure the t he availability of adequate equipment and supplies which are necessary tools for efcient records keeping. These include: • ling 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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3 PRACTICES IN
Local Records & Archives Management: The Camiguin Experience
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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 rst step in systematically caring for and managing their records and archives.
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A. Getting Started: The Catarman Story In November 2001, the Municipality of Catarman in the Province of Camiguin was struck hard by Typ Typhoon hoon Nanang leaving hundreds of families without homes or property. propert y. To address address the sad plight of its citizens, the Municipal Government Government of Catarman (MGC) decided to relocate the ash ood evacu evacuees ees but encountered a major obstacle — it could not nd the deed of donation to the land to be used for relocation. While the MGC proceeded to nd a solution to their t heir relocation problem, they also recognized and resolved to address a related problem – the lack of an efcient ef cient 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 bet ween LGSP and the LGUs in the province of Camiguin Camigui n to formalize this objective. The assistance involved training on records and archives management management for the records personnel of the MGC M GC and other LGUs of Camiguin Camigui n and the developme development nt 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 Camigui n agreed to undertake the project together 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 RM AO. The approvall of the RDS took another one and half months from the date it was approva submitted to RMAO. The RDS had to be approved approved rst before it could be used together with the manual and implemented in all the LGU ofces. Similar to the steps in develop developing ing a R AMP described in Part Two, Two, Box 1 lists the activities undertaken by the LGUs of Camigui Camiguin n province including a timeframe.
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Box 1. Developing a RAMP for Camiguin LGUs
Activities
Timeframe
1. Conduct of rapid assessment of existing records 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 appraisal by each LGU and preparation of the RDS of each LGU
Three months
4. Conduct of training for records personnel 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 records management management operations 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 ofces after the approval of the RDS 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. Necessity Any paper or document that contributes to the prompt completion of any process in the LGU or which protects the interest of th e LGU and its citizens is necessary and must be produced produced.. Any paper not fullling 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 specic words, short and direct sentences and only one subject for a document. 3. Simplicity Methods 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 Format There 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 t he respective heads. 6. Uniformity in Number Series Format There 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” “1” (one).
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“
We (the Records Management Improvement Improvement Committee) realize just now what RMAO RM AO 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 recor d will have use decades from now? We We have been at it for t wo years now but there is still a roomful of records to go through. We found found additional additional records under the stairs! And we are daily daily generating more records - truly records management is a continuous process. 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 jif fy. We have set aside a room in our renovated old municipal municipal hall to serve as records ofce. A portion of it will also eventually eventually house archived materials. materials. We are happy that the provincial provincial government is keen on pursuing the setting up of an archives ofce in the t he Capitol.
“
Municipal Planning and Development Coordinator Municipality Municipal ity of Catarman Province of Camiguin
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C. Records Maintenance and Use The LGUs of Camiguin province adopted the following procedures on managing electronic mail, mail operations and directives and managing le operations. 1. Managing Electronic Mail In 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. Step II. Step III.
Step IV. Step V.
Print Message for retention File Printed Message in the same way using Functional Subject Alphabetic Classication Classication System ( FSACS) but in a separate folder Use three storage system a. On-line - saved in HDD b. Near-line - saved in local drive c. Off- line - using FSACS RDS must follow EE-Commerce Commerce provisions Put passwords in place
2. Managing Mail Operations Ofcial mail is any written, printed matter, or any material thing transmitted in connection with the transaction of public business. No ofcial 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 developed by the LGUs of the Province of Camiguin. Handling Incoming Mail
1. All incoming ofcial mail, mail, whether through through messengerial messengerial or postal service shall be received and registered by the designated Records Ofcer/Clerk at the Ofce Of ce of the Municipal Mayor or the Municipal Vice- Mayor Mayor..
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2. The desk of the receiving receiving mail mail clerk shall be properly identied and and marked “RECEIVING” so that messengers from other agencies and other ofces could easily spot its location. 3. Only authorized personnel personnel shall open sealed envelopes. envelopes. A directive 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 “ofcial” or “personal”. Ofcial 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 over routine or ordinary mail. Non-routine mails are the important ones and need immediate action. The personal ones shall receive the lowest priorit y. 6. As part of documentation, documentation, the mail pieces pieces shall be stamped “RECEIVED” on the lower right corner of the rst rs t page with the date, control number and the initial of the receiving mail clerk indicated. Time shall be indicated only when time is signicant 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 ( code number or reference number), date received received,, the type of mail, sender, sender, address, subject, remarks and action unit having jurisdiction over over the matter treated therein. (Same information may be encoded). 8. E-mail and fax mail mail shall be received received and registered registered at the ofce 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 requesti requesting ng personnel on the same day. In case the messenger concerned is still out
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on ofcial business after 5:00 o’ o’clock clock in the afternoon, af ternoon, such documents and packages may be claimed the following day after they have been ofcially received at the Receiving Unit. Handling Outgoing Mail
All outgoing mails shall be dispatched from the M essengerial Desk. 1. It shall be the responsibility responsibility of the originating originating unit to ensure ensure the mail piece piece is ready for dispatching. 2. To avoid being “return “returned ed to sender sender””, letters, parcels and packages must be provided with the complete name of addressee addressee and the correct address with its it s postal or zip code. 3. As part of the documentation documentation process, process, letters shall shall be marked marked “RELEASED” with the date, reference number and initials of the Records Ofcer or mail clerk. Information such as reference number, date of the letter, name, address, subject matter, sender, 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 of bills such such as CAMELCO, CAMELCO, CAMTECO, MWD and other nancial transactions incidental incidental to the operations of the LGU shall be given priority by the Municipal Treasurer’s Treasurer’s Ofce. 6. Periodically, Periodically, the Records Records Ofcer/Records Clerk’s Logbook Logbook or Record Book Book for incoming mail shall be checked against the Logbook for outgoing mail to nd out if any mail has not been acted upon and needs to be followed up. up. Handling Issuances/Directives
1. All issuances/directives 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 issuances/directives is done by registering/indicating the type, number, date of issue, title, subject matter, and other relevant information. 3. The Records Ofcer or Clerk shall reproduce reproduce as many many copies as needed for routing. One copy shall go to the Central Files and shall be stamped “FILE” before ling. 4. The Personnel Personnel Section shall be furnished with a copy of of the issuances/ directives regarding assignment assignment and conduct for the th e 201 le of the personnel concerned. 5. To facilitate facilitate retrieval, retrieval, an index card (with size 3” x 5”) 5”) shall be prepared for each issuance/directive, issuance/directive, with information similar to that used in the register. The information may be encoded electronically. electronically. 3. Managing File Operations Misling is a problem in every ofce. In ling, the emphasis should should be more on the “nding” rather than the “storing” aspect for purposes of practicability and convenience. convenience. The basic objectives in the le operations are efciency ef ciency and economy. To achieve these objectives, the following standard operating procedures are adopted: Before Filing
1. Inspect the le whether it is ready ready for ling. ling. Check whether all 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 determine the main and minor subjects subjects under which the le material will be led. 4. Cross-reference and determine the subjects if more more than one subjects under under which the le material will be led. For Cross-referencing, a cross-referencing sheet will be used indicating what subject category the le material will be led.
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5. Write clearly clearly and legibly the complete complete ling ling designation on the upper right hand corner of the paper. Filing Procedures
1. Use different guide tabs to indicate the divisions, subdivisions and classications. 2. Use color codes on les as well as tab positions to aid in ling and locating les. The following color coding shall be adopted: PRIMARY – Red; SECONDARY – Yellow; TERTIARY – Green. 3. File each each document under under the proper classication classication with the newest newest addition on top or in front of the contents in its respective folder. folder. 4. File documents regularly, everyday or on alternative days; do not allow materials to be led to pile up. 5. Keep all materials materials together so so that the history of the dealings dealings of an agency or individual will be available in one place. 6. File bulky bulky materials separately separately in appropriate appropriate storage lockers lockers or suitable suitable shelves. They should be clearly marked, systematically and kept clean and dusted. Servicing with Files
1. No one except the authorized personnel shall shall be permitted access to the les. 2. Requisitions Requisitions for materials on le shall be made in writing on forms forms provided provided for the purpose. The File Requisition form must be lled up before taking out materials on le. See Box 2. 3. All records removed removed from the les shall be recorded. A standard standard charge-out form shall be used in borrowing a le. 4. A charge-out system shall be used used to determine where a record could could be located after it has been taken out from the les to ensure return. This card shall be led in place of the borrowed material.
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Box 2. File Requisition Form Republic of the Philippines Province of Camiguin Municipality of _______ FILE REQUISITION FORM Date: _____________________________ Subject/Title of File Requested:____________________________________
Requested by: _____________________________________ Received by: _______________________________________ Due Date: _________________________________________ Remarks: ______________________________________________________________ ______________________________________________________________ Signature of Records Custodian:_______________________________
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D. Records Disposition With the guidance of RM AO AO,, the LGUs of Camigu Camiguin in 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 include those that deal with completed business 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 reliability.. 3. Transfer Records which are no longer referred to and whose retention period is ve (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 ofce itself or in a place where records are well-protected.
a. Records shall shall be transferred transferred to the storage storage area for non-current, 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 and recommended for approval by the RMIC and duly approved by the LCE. c. A transmittal form 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 bundled or wrapped wrapped and marked with information such as record series, period covered and originating department.
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4. Disposal All valueless records or les that have reached th eir retention limit shall be disposed of in the following manner:
a. A request for authority authority to dispose records records shall be accomplished accomplished using the form prescribed by the RMAO ( Form No. 3) duly approved by the LCE. LCE. b. All records pertaining to claims and and demands by by the LGU either as as debtor or creditor and those that are required to be audited by the Commissi Commission on on Audit (COA) shall not be destroyed or disposed of without necessary clearance from the COA. c. All records shall be disposed disposed of of by burying and/or and/or selling. 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 RM AO Ofcial Buyer of valueless records. records. e. The actual disposal disposal of valueless records shall shall be witnessed by representativess from RMAO, COA and the LGU agency/department representative concerned. f.
A certicate certicate of disposal (RM AO form form No. No. 6) shall shall be prepared in triplicate triplicate indicating the records series, manner, volume of records dispose of, date and place of disposal. The RMAO form No. 6 should be led 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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Summary It is the responsibility of LGUs as mandated by the 1991 Local Government Code and DECS Orders 13-A 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 throughout their life- cycle. It ensuress the safety and protection of LGU records and archives to serve administrative, executive, legal, scal, 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. management. More importantly, they should provide the necessary political, policy and nancial support which may include but are not limited to the following: • • • • •
creation of an an LGU Records Management Improve Improvement ment Committee Committee establishment and maintenance maintenance of an LGU Records Records Ofce and and Mini Archives appointment of an an LGU LGU Records Records Ofcer and Archivist capacity developm development ent of LGU records personnel adequate staff, supplies supplies and equipment equipment for for managing records and and archives archives
Finally, LGU executives and records staff must remember that records management is Finally, not simply an additional administrative administrative and nancial burden. If used effectively, it can be a tool for ef fective local government management, promoting accountability accountability and protecting citizens’ rights.
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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 Ofce (RMAO), Training Division: Sample Functional Subject Alphabetic Filing System, February1998 Seminar Workshop on Records and Archives M anagement 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
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