Guidelines to Centralize the Receiving and Releasing of Documents/Communications/Records/Issuances/Classified Information in the Department

April 3, 2017

DILG CIRCULAR NO. 13-17

 

1. Background

Sound records management practices require a centralized system of documents/records control. To effect a more systematic and efficient flow of communication throughout the Department and ensure that the Department's clientele are given with accurate information they needed, the centralized control of documents and records is deemed necessary for the seamless operation of the Department. Centralizing the incoming and outgoing documents and records are part of the unified Records Management and Control in the Government where the rules and regulations promulgated for the purpose are as provided under the National Archives of the Philippines (NAP) General Circular No. 1 dated January 20, 2009.

2. Scope/Coverage

This Circular shall be applicable only to all official communications/correspondences in paper format, which are received and released by the operating units of the Department. HSAcaE

Communications that are sent directly to the action unit via facsimile machine or electronic mail are not covered by this Circular.

3. Definition of Terms

3.1. Action Unit — refers to the originating unit within the Central Office, which are sometimes referred to as the Office of Primary Responsibility (OPR)

3.2. Classified Information — documents which are categorized and labeled as Top Secret, Secret, Confidential and Restricted

3.3. Intra-office Communication — refers to any form of communication which originated from the action unit and is intended only for any official/personnel within the operating units in the Central Office

3.4. Receiving Officer — refers to the designated personnel of the action unit who are authorized to receive the documents forwarded by the Records Section

3.5. Releasing Clerk — refers to the designated personnel of the action unit who are authorized to deliver the documents to the Records Section, for appropriate released to concerned recipient.

4. Policy Content and Guidelines

To ensure the systematic flow of correspondences in all operating units of the Department, the following guidelines, policies and procedures shall be observed:

4.1. On Incoming Communications

4.1.1. All official correspondences addressed to the Department and/or its officials that are sent either via couriers or personal delivery shall be coursed directly to the Central Records Section for recording and eventual routing to the concerned action units. There shall be no direct deliveries of incoming communications to action units by any individual. If any official correspondence is delivered directly to the action unit/officials concerned, such communication shall be returned to the Central Records Section for recording and routing.

4.1.2. All official mail shall be opened by the action officers of the Central Records Section except those which are marked "Confidential" or "Personal". Immediate attention shall be given to priority or urgent papers whenever they are determined to be so.

4.1.3. All official communications shall bear the official stamp/mark "RECEIVED" by the Central Records Section and shall be dated, initialed, assigned with a control number, entered and recorded to the Records Management System (RMS) by the concerned Records Action Officer. All receiving clerks of operating units shall use the same control number assigned to a document, for tracking purposes, in the following format:

yyyy-mm-dd-xxx

indicating,

yyyy — the year the document was received

mm — the month the document was received

dd — the day the document was received

xxx — the three-digit control number assigned to a document

4.1.4 A Routing Slip shall be attached by the Central Records Section staff to each incoming communication. For tracking purposes, the routing slip shall not be detached from the document where it is attached. HESIcT

4.1.5 All communication received by the Central Records Section shall be routed to concerned units within the day upon receipt, except those communications which have been received from 3:30 p.m. onwards. Urgent communications, however, shall be routed immediately upon receipt.

4.1.6. The Central Records Section staff shall determine the concerned action unit to which such communication will be routed/forwarded, for immediate and proper disposition.

4.1.7. All designated receiving clerks in the operating units must affix their name/initials, as well as the date and time of receipt in the RMS Transmittal Report of recorded incoming communications, based on the approved ISO quality procedures for Central Records Management process.

4.1.8. Other personal mail/package addressed to the employees of the Department, which are not official in nature, shall also be received by the receiving officer of the Central Records Section. However, personal mail must be picked-up by the concerned employee or his authorized representative from the Central Records Section.

4.2. On Outgoing Communications

4.2.1. All outgoing communications, except intra-office communications, shall pass through the Releasing Unit of the Central Records Section for proper recording. It shall bear the stamp "RELEASED" by the Central Records Section, with the dates and time of release, signature/initial of the releasing officer, and the assigned control number. Any communication which does not bear the stamped "released" shall be considered unofficial.

4.2.2. The designated releasing clerks of the action units shall be responsible in delivering the outgoing communications to the Central Records Section. As much as possible, no third party (janitorial personnel or OJT) shall be allowed to deliver the same to the said office.

4.2.3. Designated releasing clerks of the action units shall likewise be responsible for checking the completeness of the outgoing communication — with the signature, correct and complete name/address of the addressee, necessary enclosures, basic attachments or previous indorsements received by the Department. The action unit shall be responsible in the reproduction of necessary copies for all outgoing communications.

4.2.4. To update the client on the action taken by the Department, the Central Records Section shall be responsible in sending the scanned copy of the outgoing communications that are addressed to client's e-mail address only. However, should the client also provide his/her mailing address, the Central Records Section shall only send a hard copy of the communication.

4.2.5. The Central Records Section staff shall determine the method of delivering the outgoing communications to concerned addressees. Should there be a special instruction in the manner of delivering the correspondences, the head of office/action unit shall inform and coordinate with the Records Section Chief or the principal Liaison Officer of the said office regarding the same.

4.9.6. Release of intra-office communications/correspondences shall be delivered directly by the concerned action unit to expedite the flow of communication, provided that such communication is accompanied with the duly filled-out routing slip. Designated releasing clerks shall carry-out the same procedure mentioned in item no. 4.2.3.

4.3. On Administrative Issuances

4.3.1 The Central Records Section shall be responsible for controlling and assigning of serial numbers and date to all administrative issuances of the Department except bureau/service/office orders.

4.3.2. To avoid inconsistency in the issuance date and serial numbers, the personnel in-charge of the preparation of issuances shall consult and coordinate with the Central Records Section, especially in the reservation of the issuance number.

4.3.3. The action unit shall provide a written instruction to the Central Records Section in case such issuance shall be held pending for release, indicating as well the reason thereof.

4.3.4. The head of the operating unit shall notify the Central Records Section on any changes to their official email addresses and designated official e-mail administrator/s that shall be responsible for acknowledging the receipt of e-mails and shall be responsible for forwarding and disseminating the information within their respective units. The consolidated list of official email addresses are hereto attached as "Annex A".

4.3.5 Original copies of the issuances/directives shall be forwarded to the Central Records Section as the official repository of records of the Department. For bureau/service/office orders, the action unit shall furnish the Central Records Section with a photocopy of such order. caITAC

4.4. On Classified Information

4.4.1. Access to classified matter must be limited to the Head of Office and authorized personnel only who possess appropriate access authorization and who require such access (need-to-know) in the performance of official duties.

4.4.2. Communications marked with Top Secret, Secret, Confidential and Restricted that were received by Records Section shall be delivered directly to the addressee thereof or to his/her office and he/she shall sign his/her name/initial, date and time of receipt in the Official Receipt for Classified Matter (see form marked as "Annex B").

4.4.3. Only the authorized receiving/releasing officers of the action unit shall be allowed to handle the classified documents.

4.4.4. When classified information is prepared, the concerned officer of the action unit shall mark or stamp the document with the appropriate markings conspicuously at the top and the bottom of all pages. The letters of the said marking shall be larger than the normal letters of the rest of the document. Sealed envelopes should also be marked with appropriate classified marking.

4.4.5 Documents/records containing classified information shall be kept in special registries and must be filed and stored in lockable cabinets within the department or office concerned, and shall be accessible only to the authorized personnel.

5. References

• Office of the President Memorandum Circular No. 78, s. 1964

• Office of the President Memorandum Circular No. 196, s. 1968

• NAP General Circular No. 1 dated January 20, 2009

• DILG Circular No. 2016-06

• DILG Office Circular No. 73-9

• DILG Office Circular No. 73-10

6. Annexes

• Annex A — Consolidated List of Email Addresses

• Annex B — Official Receipt for Classified Matter

7. Repealing Clause

This Circular is understood to be merely ministerial and all other DILG issuances which are inconsistent with any provision of this Circular are hereby repealed and/or amended accordingly. In case of conflict, however, of any provision herein with the provisions of the Freedom of Information law or rules, the latter shall prevail.

8. Effectivity

This Circular shall take effect immediately.

(SGD.) ISMAEL D. SUENOSecretary

ANNEX A

Consolidated List of Email Addresses

ANNEX B

Official Receipt for Classified Matter