Rules and Regulations Governing the Management of Public Records and Archives Administration ( NAP General Circular No. 01-09 )

January 20, 2009

NAP GENERAL CIRCULAR NO. 01-09

 

These rules and regulations are issued under the provision of RA 9470 otherwise known as the National Archives of the Philippines Act of 2007 and its Implementing Rules and Regulations, to effect better coordination in the management of government records and public archives. The National Archives of the Philippines is mandated to plan, develop, prescribe, disseminate, and enforce policies, rules and regulations and coordinate government-wide programs governing the creation, general protection, use, storage and disposition of public records including the acquisition, storage and preservation of public archives and providing facilities for reference, research or other purposes.

(SGD.) MARIETTA R. CHOUActing Executive Director

RULES AND REGULATIONS GOVERNING THE MANAGEMENT OF PUBLIC RECORDS AND ARCHIVES ADMINISTRATION

ARTICLE I

Coverage

RULE 1.

These rules and regulations have been promulgated to be followed by all government agencies empowering better coordination in the management of government records and public archives.

ARTICLE II

Records and Archives Terminology

RULE 2. Definition. —

Access — refers to the granting of permission to:

(1) use the reference service of an archives institution;

(2) examine and study individual archives and records or collections held by archives; and

(3) extract information from archives and records for research or publication;

Accession — refers to the process of transferring non-current/archival records from the custody of an operating agency to the administrative control and guardianship of a records center/archival agency;

Agency — refers to any agency other than the National Archives of the Philippines;

Archives — shall refer to:

(1) public records, papers, periodicals, books or other items, articles or materials, whether in the form of electronic, audio-visual, or print, which by their nature and characteristics have enduring value, that have been selected for permanent preservation;

(2) the place (building/room/storage area) where archival materials are kept and preserved; and

(3) an organization (or part of an organization) whose main function is to select, collect and preserve archival records and make such records available for public use;

Acquisition — refers to:

(1) the act of obtaining records for the archives, through donations, transfers, loans, or purchase both from public and private archives; EHaCTA

(2) the terms of agreement, procedures and documentation used by archival repositories to obtain physical and legal ownership of archival materials from depositors; and

(3) a unit of archival material that has been recently collected or acquired;

Authority — refers to a conclusive statement leading to an official decision pertaining to records and archives management;

Classification Scheme or Guide — refers to a systematic arrangement of subjects according to a plan as an aid in classifying file materials;

Conservation — refers to the physical care and maintenance of archival materials, including cleaning, storage, and repair;

Controlling Government Agency — shall refer to:

(1) public office that controls the public records;

(2) public office that has the power to determine the conditions of access to the public archives; and

(3) any successor of a public office that is abolished, merged or reorganized;

Document — refers to recorded information regardless of medium or characteristics. Frequently used interchangeably with "records";

File — refers to:

(1) a folder containing records; or

(2) a collection of records involving a specific name or topic; or

(3) a class of records in a separate group or series of file drawers; or

(4) the operation involved in arranging records in systematic order; CAIHTE

File Break — refers to the termination of filing activity for a particular file at a predetermined time, or after a lapse of a specific event and the beginning of a new filing period;

File Containers — refer to steel filing cabinets, open wooden shelves, vaults, corrugated boxes, file jackets and the like used to keep the records of the agency;

General Records Disposition Schedule — refers to a records control schedule governing the disposition of specified recurring records series common to all government agencies issued by National Archives of the Philippines;

Non-current Records — refer to files that deal with completed or adjourned business not needed for action or reference in continuing agency transactions but have continuing research or historical value to the government and public; HAEIac

Preservation — refers to all actions taken to retard deterioration of, or prevent damage to, cultural materials and controlling the environment and conditions of use and may include treatment to maintain materials as nearly as possible in an unchanging state;

Public Records — refer to record or classes of records, in any form, in whole or in part, created or received, whether before or after the effectivity of R.A. 9470, by a government agency in the conduct of its affairs, and have been retained by that government agency or its successors as evidence or because of the information contained therein;

Records — refer to information, whether in its original form or otherwise, including documents, signatures, seals, texts, images, sounds, speeches, or data compiled, recorded, or stored, as the case may be:

(1) in written form on any material; or

(2) on film, negative, tape, or other medium so as to be capable of being reproduced; or

(3) by means of any recording device or process, computer, or other electronic device or process;

Records Center/Storage Area — refers to an intermediate repository in which non-current records of various government offices are stored until they can be destroyed or transferred to the National Archives of the Philippines;

Records Creation — refers to the:

(1) organization's operation wherein exchange of written ideas between two sources occur;

(2) act of controlling records and retaining them in records keeping system; and IaEHSD

(3) bringing of records into existence as evidence of any administrative process;

Records Custodian — refers to any agency employee with responsibilities over a particular set of records. A records custodian must keep the Records Officer informed of any issues regarding the records in their custody;

Records Disposition Schedule — refers to the listing of records series by organization showing, for each records series the period of time it is to remain in the office area, in the storage (inactive) area and its preservation or destruction;

Records Maintenance and Control — refers to the creative process of records management that includes the proper handling and operations of records, the arrangement of written materials into usable filing sequence, and the selection of the most efficient type of filing equipment;

Records Management — refers to the managerial activities involved with respect to the records creation, records maintenance and use, transmission, retention, and records disposition in order to achieve adequate and proper documentation of policies and transactions of government for its efficient, effective and economical operation;

Records Management Audit — refers to the periodic inspection of the records holdings of government offices, whether national or local for purposes of identifying and incorporating records series that are not yet included in the agency's Records Disposition Schedule;

Records Management Improvement Committee — refers to a group of key officials and employees designated by the head of the agency responsible for the improvement of their records activities;

Records Management Manual — refers to a guide which contain the functions, organizational chart of the records office, policies and standard operating procedures on records management activities of an agency;

Records Office — refers to an organizational unit responsible for planning, developing, prescribing, disseminating and enforcing policies, rules and regulations and coordinating agency-wide records management program;

Records Officer — refers to the employee responsible for overseeing the records management program and providing guidance on adequate and proper recordkeeping;

Records Series — refer to a group of related records arranged under a single unit or kept together as a unit because they deal with a particular subject, result from the same activity or have a special form;

Reference Service — refers to the function and activity of making available to inquirer, records, reproduction of records, or information from or/about records, the last in conference or in writing;

Restriction — refers to the limitation placed by authority on access to records or information;

Restricted Access Records — refer to records which access have been restricted because there exists a legal impediment and/or standard or advice issued by the Executive Director, NAP, that requires such public records to be withheld from public access;

Retention Period — refers to the specific period of time established and approved by the National Archives of the Philippines as the life span of records, after which they are deemed ready for permanent storage or destruction;

Transfer of Records — refers to the systematic movement of records out of high cost space and equipment to less expensive storage area/Records Center;

Valueless Records — refer to all records that have reached the prescribed retention periods and outlived the usefulness to the agency or the government as a whole; aEcADH

Vital Records — refer to records containing information essential for: emergency operation during a disaster; the resumption and/or continuation of operations; the re-establishment of the legal, financial and/or functional status of the organization; and the determination of the rights and obligations of individuals and corporate bodies with respect to the organization.

ARTICLE III

Records Management and Archives Administration

RULE 3. Requirements of Records and Archives Management. —

3.1 Establishment of a Records and Archives Management Program

All government agencies shall establish and maintain an active continuing program directed to the application of efficient and economical records management methods relating to the creation, utilization, maintenance, retention, preservation and disposal of public records. cSaCDT

3.2 Establishment of Records and Archives Office/Unit

All government agencies shall each establish their records and archives office/unit in coordination with the DBM and the NAP from their organic personnel within a year from the date of effectivity of R.A. 9470. The Records Officer or Archivist of a government agency shall head the said office/unit.

3.3 Agency's Records Officer

Each agency shall appoint a qualified Records Officer for the purpose of implementing and overseeing a records management program and to serve as liaison with the NAP.

In the absence of a qualified Records Officer, a Records Custodian may be designated temporarily by the head of the agency or appointing body.

3.4 Records Management Improvement Committee: Its Composition and Functions

Each agency shall create a Records Management Improvement Committee (RMIC) as an advisory body on the development of records management, the Chairman and members of which shall be designated by the Head of the Agency. AcHCED

3.5 Agency Records Management Manual

Each agency shall develop and maintain a records management operations' manual which shall contain the functions, organizational chart of the records office, policies and standard operating procedures on records management activities.

RULE 4. Records and Archives Management Training Program. —

4.1 The NAP shall initiate, develop and conduct nationwide training programs on records and archives management including the establishment of an archival system for both public and private sectors.

4.2 It shall assist government agencies in their in-house training programs concerning records and archives management.

RULE 5. Records Creation. —

5.1 Each agency shall have an integrated program in the creation of necessary records and copies thereof, including reports, forms, and issuances of the absolute minimum in the most effective way consistent with efficiency and economy.

5.2 Each agency shall keep and preserve a logbook in which shall be recorded in chronological order all final official acts, decisions, transactions or contract, pertaining to their functions. The logbook shall be in the custody of the Records Officer/Custodian concerned and shall be open to the public for inspection.

5.3 The NAP shall provide assistance to each agency in the classification of issuances, including the conduct of studies for developing sub-classifications and guidelines to meet peculiar needs.

RULE 6. Records Maintenance and Control. —

6.1 Operations of Incoming and Outgoing Mails

Each agency shall have a centralized receiving and releasing unit of all communications for proper recording and routing procedures under the accountability of Records Officer/Custodian.

6.2 File Classification Guide for Uniform Filing System

Each agency shall develop a File Classification Guide or Scheme based on its organization and functions for a uniform filing system.

6.3 Retention Code

Retention Code shall be effected by each agency based on the General Records Schedule and the agency's Records Disposition Schedule before the records are filed.

6.4 Utilization of Filing Equipment and Floor Space

Each agency shall set standards and criteria for the maximum utilization of filing equipment and floor space for maintaining and servicing files.

6.5 Personnel Security and Access to the File

The Records Officer and/or his duly authorized personnel shall have the sole access to the office files and shall be responsible for the security of records at all time.

Confidential records shall be kept separately from the general files in secured file containers.

6.6 Servicing with the File

Each agency shall adopt requisition and charge-out procedures in issuing files. A follow-up device shall be developed on charged out records. ESHcTD

RULE 7. Records Disposition. —

7.1 Inventory and Appraisal of Records

Each agency shall prepare an inventory and appraisal of its records holding in the prescribed form (NAP Form No. 1) as an initial step in developing the Records Disposition Schedule and for whatever purpose the agency may deem necessary.

7.2 General Records Disposition Schedule (GRDS)

All government agencies and instrumentalities shall observe the enclosed General Records Schedules in determining the disposal of their valueless records.

Agencies shall not dispose of their records earlier than the period indicated for each records series. However, records may be retained for longer periods if there is a need to do so.

7.3 Agency's Records Disposition Schedule (RDS)

Each agency shall establish a Records Disposition Schedule, to be accomplished in the prescribed form (NAP Form 2) covering its substantive records and those records not included in the General Records Schedules to serve as guide in the disposition of records, subject to the approval of the NAP.

Any revision or change in the Schedule shall likewise be submitted for approval to the Executive Director as the need arises.

RULE 8. Turn Over of Records to Successor. —

A person having custody of public records, at the expiration of his/her term of office or employment, shall deliver to his/her successor, or if there is none, to the National Archives of the Philippines, all public records in his/her custody. aSATHE

RULE 9. Review and Transfer of Non-Current Records to Records Center. —

9.1 Responsibility of Records Officer

Each controlling government agency shall be responsible for ensuring that non-current/inactive public records are regularly reviewed and Records Officer shall inspect the files and recommend the transfer to the Records Center Division, NAP or agency's storage area in accordance with the approved Records Disposition Schedule or General Records Disposition Schedule.

9.2 Transfer and Storage of Non-Current/Inactive Public Records

Transfer of non-current/inactive public records of a controlling government agency (national and local) to the Records Center Division, shall be in accordance with the approved Records Disposition Schedule for public records of more than five years retention period, and upon recommendation of Records Management Analyst/Archivist based on their final evaluation. acHDTE

9.3 Transfer of Public records upon Abolition of Government Agencies: Political Subdivision

All public records which are in or shall come into the possession of any government agency shall, upon abolition and/or absorption of such agency, be transferred to the custody of the NAP; provided, that such transfer is consistent with the provision of any law or ordinance that declared the abolition and/or absorption of that government agency or political subdivision.

9.4 Authority to Transfer

Request for authority to transfer public records to the Records Center Division shall be effected upon the recommendation of the Chief, Records Center and approved by the Executive Director, NAP.

RULE 10. Administration of Transferred Non-Current/Inactive Public Records. —

10.1 Loan and Permanent Withdrawal of Public Records

Public records in the Records Center Division, NAP may be requested for loan or permanent withdrawal by the owning agency.

Public records of abolished agencies shall not be loaned or permanently transferred for an indefinite period to another office unless approved by the Executive Director.

10.2 Disposal of Transferred Public Records

Public records in the custody of the Records Center Division can only be disposed of upon the final recommendation of the Records Management Analyst/Archivist and with a written concurrence from the owning agency.

Public records of defunct agencies can be disposed of upon the recommendation of the Chief, Records Center Division based on the final evaluation of the Records Management Analyst/Archivist and approved by Executive Director.

Disposal of transferred public records shall follow the guidelines on disposal of valueless records.

10.3 Transfer of Public Records to Archives Collection and Access Division

Public records from the Records Center Division (RCD) adjudged/deemed to be of archival value shall immediately be transferred to the Archives Collection and Access Division (ACAD) for permanent preservation.

10.4 Restrictions to Access to Transferred Records

Restricted records which have been transferred by government agencies are accessible only to authorized personnel of the transferring agencies.

RULE 11. Transfer of Records to Archives. —

11.1 Direct Transfer

The ACAD is authorized to take into its custody all government records with enduring value and other historical materials for research and preservation purposes.

11.2 Donations

Donations may be accepted from public and private sectors or entered into exchange policy agreement, subject to existing Philippine laws and evaluation policies of the NAP. TEcADS

11.3 Acquisition

The physical nature and condition of the records, weighed against the capacity of the Archives Collection and Access Division (ACAD) to collect and ensure access to them in the present and the long-term, will be considered as criteria in deciding whether or not to acquire or retain records, particularly technology-dependent records.

11.4 Access to Archival Materials

Any person who wishes to request information or have access to archival materials shall follow the procedures set by the ACAD.

11.5 Preservation of Archival Records

11.5.1 Archival records shall be stored in authorized repositories and shall be accessible to the public, subject to certain security and safety measures to preserve the integrity of the records.

11.5.2 It shall be the responsibility of the ACAD to protect archival documents in its custody and the Archives Preservation Division (APD) to undertake corrective measures to rehabilitate deteriorated documents in accordance with widely accepted standards.

11.5.3 All public officials and employees of government agencies shall consult with the NAP regarding proper methods and materials before undertaking conservation of any public records.

11.6 Publication of Archives

The Executive Director may subject to condition that he/she deems appropriate, authorize, in writing, the publication or replication of a public archive that is an open access record.

Accessing or replicating a public archive or protected records which is under the control and custody of the NAP shall be deemed prohibited. Such prohibition on public access shall be noted in the Public Access Registry, in accordance with Sec. 15 (e) (2) of R.A. 9470.

ARTICLE IV

Public Access

RULE 12. Transparency of Transaction and Access to Information. —

Each agency must institute adequate records management controls over the maintenance and use of records wherever they are located to ensure that all records, regardless of format or medium, are organized, classified, and described to promote their accessibility.

RULE 13. Limitation of Access to Public Information. —

The National Archives of the Philippines shall provide official information, records or documents to any requesting public, subject to applicable fees and charges, except if:

13.1 National Defense or Security Matters

Such information, record or document must be kept secret in the interest of national defense or security or the conduct of foreign affairs;

13.2 Safety of an Individual

Such disclosure would put the life and safety of an individual in imminent danger; ETIDaH

13.3 Established Privilege

The information, record or document sought falls within the concept of established privilege or recognized exception as may be provided by law or settled policy or jurisprudence;

13.4 Drafts of Issuances or Decisions

Such information, record or document comprises drafts or decisions, orders, rulings, policies, decisions, memoranda, and the like;

13.5 Investigatory Records

It would disclose investigatory records complied for law enforcement purposes;

13.5.1 Interfere with enforcement proceedings;

13.5.2 Deprive a person of a right to a fair trial or an impartial adjudication; CAaSHI

13.5.3 Disclose the identity of a confidential source;

13.5.4 Unjustifiably disclose investigate techniques and procedures;

13.6 Premature Disclosure of Information

It would disclose information, the premature disclosure of which would:

13.6.1 Endanger the stability of financial institution;

13.6.2 Frustrate the implementation of a proposed official action, except that of Rule 44 (e) (2) of the I.R.R. of the R.A. 9470;

RULE 14. Confidentiality. —

14.1 Duties of NAP on its Collections

The NAP shall protect and uphold the right of individuals, groups and/or organizations to privacy, including records, protocols and policies against indiscriminate usage.

14.2 Exception to the Mandate of Confidentiality

The requirement for confidentiality shall be waived in when responding to the subpoena duces tecum and subpoena ad testificandum issued by the court with jurisdiction over legal proceedings; when complying to the requirements as provided in Sec. 28 of the R.A. 9470; and when employees and official of the National Archives of the Philippines are performing such functions that are inevitably part of the work process. HCEaDI

ARTICLE V

General Provisions

RULE 15. Payment of Administrative Fee. —

Charges for certified copies and certifications for non-availability of records shall be collected in accordance with existing laws, and regulations.

RULE 16. Technical Assistance. —

The NAP shall provide technical assistance on matters concerning records/archives management to all entities of the executive, legislative and judiciary branches of the government, constitutional offices, local government units, government-owned and/or controlled corporations, government financing institutions, state universities and colleges, Philippine embassies, consulates and other Philippine offices abroad. AaITCH

RULE 17. Reference Service. —

Reference service on records transferred in the custody of the Records Center/ACAD may be requested by persons having legitimate reasons for consulting or using them in accordance with approved rules and regulations.

RULE 18. Records Management Audit. —

The National Archives of the Philippines shall conduct periodic inspection of records of all government offices.

All heads of government agencies shall have the duty to grant access to all of its records for audit purposes. Records found not included in the agency's Records Disposition Schedule shall be entered in NAP Form 2 (RDS) for approval of the Executive Director, NAP.

Such audit shall be conducted five years from the effectivity of R.A. 9470 and every five years thereafter.

RULE 19. Establishment of Agency Storage/Mini Archives. —

Each agency shall maintain and operate records storage/mini archives of non-current records preparatory to their transfer to the NAP, Records Center or to Archives repository.

ARTICLE V ^*

Penal Provisions

RULE 20. A person who, willfully or negligently, damages a public record or disposes of or destroys a public record other than in accordance with the provisions of R.A. 9470 or contravenes or fails to comply with any provision of said Act or any regulations made under this Act shall be deemed to have committed an offense.

RULE 21. Any public officer committing any of the unlawful acts of omissions mandated under R.A. 9470 shall be punished by a fine of not less than Five Hundred Thousand Pesos (Php500,000.00) but not exceeding One Million Pesos (Php1,000,000.00) or be imprisoned for not less than five (5) years but not more than fifteen (15) years and/or both fine and imprisonment at the discretion of the court without prejudice to the filing of administrative charges that would result to such public officer's perpetual disqualification from public office, and forfeiture, in favor of the government, of his salary and other lawful income. IcaHCS

ARTICLE VI

Miscellaneous Provisions

RULE 22. Repealing Clause. —

All orders, rules and regulations or part thereof, which are inconsistent herewith are hereby repealed or amended accordingly.

RULE 23. Effectivity. —

This Circular shall take effect fifteen (15) days after its publication in the Official Gazette. ECSaAc

 

Published in the Official Gazette, Vol. 105, No. 12, p. 1715 on March 23, 2009.