A STUDY OF THE COMPLIANCE OF SELECTED BARANGAYS IN QUEZON CITY TO RELEVANT LAWS, RULES AND REGULATIONS ON ARCHIVES AND RECORDS

MANAGEMENT

VIVIAN SARAH C. JUANSON

SUBMITTED TO THE SCHOOL OF LIBRARY AND INFORMATION STUDIES UNIVERSITY OF THE PHILIPPINES DILIMAN UNIVERSITY OF THE PHILIPPINES SYSTEM IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF BACHELOR OF LIBRARY AND INFORMATION SCIENCE

APRIL 2012

This undergraduate thesis entitled A Study of the Compliance of Selected Barangays in Quezon City to Relevant Laws, Rules and Regulations on Archives and Records Management, prepared and submitted by Vivian Sarah C. Juanson in partial fulfillment of the requirements for the degree of Bachelor of Library and Information Science, is hereby accepted.

IYRA S. BUENROSTRO Adviser

Accepted as partial fulfillment of the requirements for the degree of Bachelor of Library and Information Science

JOHANN FREDERICK A. CABBAB Dean

BIOGRAPHICAL DATA

Name Date of Birth Place of Birth Educational Attainment

: Vivian Sarah C. Juanson : May 20, 1988 : Quezon City : Bachelor of Library and Information Science School of Library and Information Studies University of the Philippines Diliman June 2009 Present University of the Philippines Integrated School (High School) June 2001 March 2005

Affiliations

: Member UP Library and Information Science Students Association (UP LISSA) University of the Philippines Diliman : Intern UP Law Library University of the Philippines Diliman December 2010 March 2011 Intern UP National Center for Transportation Studies University of the Philippines Diliman April May 2011

Work Experience

iii

ACKNOWLEDGEMENTS I could have never done this paper if not for our Lord. He blessed me with good people to help and guide me towards the right direction. I would like to thank the Lord for this and for giving me the following people: To my adviser, Ms. Iyra Buenrostro, thank you for being patient with me and for all your advice and constructive comments. To my Mommy, thank you for believing in me. To my Daddy, thank you for accompanying me around Quezon City to gather data for my study. To my Lola for patiently helping me with my paper. To my siblings, Adrian, Erika and Leila for inspiring me. To the SLIS faculty and staff. To Maam Vyva, for helping me with the laws and Republic Acts. To my plurkmate, Dean Igor, thank you for responding to my thesis-related plurk posts with added pressure and insane emoticons. To Ate Gia for always reminding me to clear all my deficiencies. To Ate Rhina for entertaining all my questions. To my friends, Jen, Zeng, Kikiam, PJ, Camille, Liyan, Mon and Tere. And to my BFF DnD, thank you for always cheering me up and giving me hope when Im down.

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DEDICATION To my Lola, Mommy, Daddy and to our Lord.

ABSTRACT This study was conducted to find out the extent of compliance of the 14 out of 15 selected barangays in Quezon City to the relevant laws, rules and regulations on archives and records management. The following specific objectives were: 1) to determine how many barangays have separate archives and records offices, existing archival systems, policies and practices on archives and records management; 2) to find out the practices of the barangays regarding records storage and maintenance; 3) to know the policies and practices of the barangays regarding the disposal of different barangay records; 4) to determine how many barangays have Records Officers, their responsibilities, duties and practices on archives and records management and to find out the responsibilities and duties of the barangay Secretaries, Treasurers and Heads regarding archives and records management and; 5) to come up with recommendations that will improve the existing status of archives and records management of the barangays and their compliance with the laws and regulations. The respondents were the officers-in-charge of records management in barangays Bahay Toro, Batasan Hills, Culiat, ESCOPA I, Kalusugan, Katipunan, Marilag, Milagrosa, Obrero, Paraiso, Pinyahan, Sangandaan, Socorro and Teachers Village West. Barangay St. Peter did not participate in the study. Distribution of survey questionnaires and follow-up interviews were done to gather data. The findings of the study revealed the following: 1) none of the barangays have an existing archival system; 2) most of the barangays policies on archives and records management are not formally written; 3) only three barangays have centralized receiving
vi

and releasing units; 4) only nine barangays have mini-archives; 5) none dispose public and protected records; 6) only eight barangays have Records Officers and; 7) barangay officials are more aware of the laws stated in the Local Government Code of the Philippines or Republic Act No. 7160 compared to the National Archives of the Philippines Act of 2007 or Republic Act No. 9470. Based on these findings, the study concluded that there is a great and urgent need for the barangays in Quezon City to upgrade and standardize their archives and records management systems in accordance with the Republic Acts and DECS Orders to better serve their constituencies. There is also a need to coordinate with the proper government office, like the National Archives of the Philippines (NAP) to ensure that their archives and records management systems are in accordance with the relevant laws and regulations. It is therefore recommended that the head of the barangays be required to attend meetings informing them of the need and importance of establishing formal records offices in their barangays; that the Executive Director (ED) of the NAP visit and inspect barangay archives and records units and prepare and implement programs for seminars and training sessions for Records Officers and Custodians of barangays and; that the NAP authority may institute programs to inspire the barangay Records Officers to do their best in complying with the Republic Acts and DECS Orders by giving them awards and recognitions.

TABLE OF CONTENTS Chapter Page

vii

I.

INTRODUCTION 1 Background of the Study 1 Statement of the Problem ...... Objectives of the Study.. Significance of the Study .. Scope and Limitations of the Study.. 5 7 8 9

II. REVIEW OF RELATED LITERATURE 10 Foreign Studies.. Local Studies.. Conceptual Framework of the Study Definition of Terms .. III. METHODOLOGY.. Research Design. Population and Sample.. Research Instrument/s .. Data Presentation and Analysis IV. PRESENTATION, ANALYSIS AND INTERPRETATION OF DATA Barangays Provisions for Archives and Records Management............... Barangays Policies and Programs on Archives and Records Management... Local Government Records .. Records Maintenance and Control Disposal of Records.. Barangay Officials and Staff. V. SUMMARY, CONCLUSIONS AND RECOMMENDATIONS Summary................................ Restatement of the problem...... Description of methodology. Principal findings of the study.. Conclusions... Recommendations..... REFERENCES.....................
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10 16 22 24 28 28 29 30 31 32 32 33 40 42 52 57 72 72 72 74 74 76 77 80

APPENDICES A Cover Letter. B Survey Questionnaire... 84 85

LIST OF TABLES

ix

Table 1. Barangays policies and programs on archives and records management.. 2. The responsibilities of the Records Officers (ROs) in the barangays.. 3. Responsibilities and duties of Barangay Secretaries on archives and records management... 4. Responsibilities and duties of Barangay Treasurers on archives and records management 5. Responsibilities and duties of Barangay Heads on archives and records management.

Page

34 59 64 66 68

LIST OF FIGURES Figure

x

Page

1. Schematic diagram of the research study. 2. Barangay Pinyahans reception area 3. Barangay Paraisos reception area 4. Barangay Bahay Toros centralized receiving and releasing unit. 5. Barangay Sangandaans centralized receiving and releasing unit. 6. Barangay Socorros centralized receiving and releasing unit 7. Barangay Culiats records area 8. Barangay Pinyahans records area 9. Barangay Bahay Toros records area 10. Barangay Marilags records area. 11. Barangay Paraisos records area 12. Barangay Culiats mini-archives 13. Barangay ESCOPA Is mini-archives . 14. Barangay Socorros mini-archives. 15. Barangay Teachers Village Wests mini-archives

22 43 43 43 44 44 46 47 47 48 48 50 50 51 51

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UNIVERSITY OF THE PHILIPPINES SYSTEM SCHOOL OF LIBRARY AND INFORMATION STUDIES UNIVERSITY OF THE PHILIPPINES DILIMAN 3/F GONZALEZ HALL 1101 QUEZON CITY, PHILIPPINES Telephone: (632) 981-8500 loc. 2870, 2871 Telefax: (632) 981-8500 loc. 2869 E-mail: ilis@up.edu.ph

THESIS/SPECIAL PROBLEM OPEN ACCESS PERMISSION I, Vivian Sarah C. Juanson, author of the thesis/special problem entitled A Study of the Compliance of Selected Barangays in Quezon City to Relevant Laws, Rules and Regulations on Archives and Records Management , submitted to the UP School of Library and Information Studies as partial requirement for the degree of Bachelor of Library and Information Science, do hereby grant to the UP SLIS a non-exclusive worldwide, royalty-free license to reproduce, publish and publicly distribute copies of said thesis/special problem in whatever form subject to the provisions of applicable laws, the provisions of [the Intellectual Property Rights Policy of the University of the Philippines] and any contractual obligations (Art.7, Revised UP IPR Policy, June 3, 2011). Specifically, the following rights are hereby granted to the UP SLIS: 1. to upload a copy of this work in the UP SLIS theses database and in any other of its databases available on the public internet;

2. to publish the work in the UP SLIS Journal of Philippine Librarianship or any of its
subsequent journal publications, both in print format and online; and

3. to give open access to above-mentioned work, thus allowing fair use as defined in the
Intellectual Property Code of the Philippines, Provided, that, I be properly acknowledged and cited as the author of the work. Vivian Sarah C. Juanson NAME/SIGNATURE LIMITED ACCESS AUTHORIZATION (For Potentially Patentable Thesis/Dissertation) THESIS TITLE: ______________________________________________________________________ AUTHOR(S):________________________________________________________________________ ADVISER(S):________________________________________________________________________ READER:___________________________________________________________________________ DATE SUBMITTED:___________________________________________________________________ DEGREE:___________________________________________________________________________ Permission is given for the following people to have access to this thesis: Available to the general public Available only after consultation with author/thesis adviser Available only to those bound by confidentiality agreement YES NO NO

CHAPTER I

Student

Thesis Adviser

Dean

INTRODUCTION

Background of the Study All government agencies have voluminous materials as a result of daily business transactions between the public offices and the people in the community. These materials come in different types and forms. Hence, there is the need for an orderly, systematic, efficient and proper control and management in recording and archiving materials. The Society of American Archivists (SAA) definition of archives management from A Glossary of Archival and Records Terminology is: Archives management or archives administration is the general oversight of a program to appraise, acquire, arrange and describe, preserve, authenticate, and provide access to permanently valuable records. It includes establishing the program's mission and goals, securing necessary resources to support those activities, and evaluating the program's performance. Archives management is distinguished from library, museum, and historical manuscripts traditions by the principles of provenance, original order, and collective control to preserve the materials authenticity, context, and intellectual character. Records management is defined by the SAA as the systematic and administrative control of records throughout their life cycle to ensure efficiency and economy in their creation, use, handling, control, maintenance, and disposition (Society of American Archivists, 2005). In the SAA website, Guercio 2001, is cited as saying that a records management system is needed to give the creator the necessary records they need for the

continuation of their activities. A records management system is also needed for the following; for the production and acquisition of reliable records for legal and technical purposes, for the systematic organization of the creation of records, for the preservation of authentic records and for fast and efficient retrieval of records (Society of American Archivists, 2005) It is important for any institution to have good archives and records management. This allows the system to function properly, not only in terms of legality but also in ensuring proper creation, use and permanent preservation of valuable records. It is important for an institution to have an effective records management system to have a systematic flow of its records activities. Records should also be properly appraised so that their value would be identified as well as how they will be filed and organized. Active records should be organized properly in a place where their retrieval would be fast and efficient. Valueless records, on the other hand, should be put in a place where these could be stored until the time of disposal or until they are needed again. Records with archival value should be kept in a place where they could be preserved and maintained permanently. With an effective and efficient archives and records management, the institutions activities will be supported with appropriate documentations and evidences. However, poor archives and records management could result in untimely disposal of important records that could disrupt the institutions activities and credibility. There are mandatory guidelines issued by the authorities to the government sector for systematic and uniform archival and records management. Here in the Philippines, the enactment of Rep. Act No. 9470 and Rep. Act No. 7160 and the coming out of DECS

Order No. 13-A and 13-B required the establishment of archives and records units in all levels of government offices. Republic Act No. 9470 or the National Archives of the Philippines Act of 2007 states in Article III, Section 13 that: All government offices shall each establish their archives and records office/unit in coordination with the Department of Budget and Management (DBM) and the National Archives from their organic personnel within a year from the date of effectivity of this Act. The records officer or an archivist of a government office shall head the said archives and records office/unit. The Implementing Rules and Regulations (IRR) of Rep. Act No. 9470 specifiy the rules and regulations that should be followed by the National Archives of the Philippines, its staff, the Executive Director, the government offices and its officials regarding their documents, archives, functions, roles, duties and responsibilities, offices, penalties, etc. Republic Act No. 7160 or the Local Government Code of 1991, Section 374 states that: Every local government unit shall provide for the establishment of archival system to ensure the safety and protection of all government property, public documents or records such as records of births, marriages, property inventory, land assessments, land ownership, tax payments, tax accounts, and business permits, and such other records or documents of public interest in the various departments and offices of the provincial, city, or municipal government concerned. In relation to Section 374 of Rep. Act No. 7160, the Rep. Act No. 9470 and its Implementing Rules and Regulations specify the rules and regulations that the local government units should comply with, to make sure that their archival system, archives and records programs and offices run systematically.

The barangay is the basic political unit that serves as the primary planning and implementing unit of government policies (Rep. Act No. 7160, Sec. 384, 1991). The role of the barangay as the basic political unit is specified in Section 384 of Rep. Act No. 7160: The Role of the Barangay - As the basic political unit, the barangay serves as the primary planning and implementing unit of government policies, plans, programs, projects, and activities in the community, and as a forum wherein the collective views of the people may be expressed, crystallized and considered, and where disputes may be amicably settled. All the Republic Acts and DECS Orders should first be implemented faithfully at the barangay level. In the hierarchy of the units of government, the barangay is the most basic unit. It is important, therefore, that proper and legal practices on archives and records management be observed and implemented here in this level to ensure that all transactions and records are systematically and appropriately handled. So, when the records are requested by other offices and people needing them, the reliability and credibility of records are assured. In addition to the Republic Acts mandating guidelines for having a systematic and uniform archives and records management in the different government units and offices, the Department of Education, Culture and Sports (DECS) issued DECS Order No. 13-A and 13-B. DECS Order No. 13-A, prescribed uniform standards or guidelines to be followed by government offices/ agencies in the disposal and distribution or destruction of their valueless or unnecessary records (DECS Order No. 13-A, 1988, p.8). DECS Order No. 13-B prescribed rules and regulations governing the coordination of records management and archives function.

With all these standards and legislative instruments, the researcher aims to find out if and how these provisions are being carried out in the local government units, especially in the barangays.

Statement of the Problem The barangay, as the basic political unit serves as the primary planning and implementing unit of government policies, plans, projects, programs of activities in the community and as a forum where collective views of the people may be expressed and considered and where disputes may be amicably settled. As a result of all these, voluminous materials for information are generated and accumulated in the barangay. Therefore, there is an urgent need for the observation and practice of proper and legal archives and records management to ensure accuracy, authenticity and reliability of information kept in the records. When the said records are called for in the higher level of government units, the integrity of the records is carried over to support a transaction or activity in which these records are needed. With the stated policies and guidelines in Rep. Act No. 9470, IRR of Rep. Act No. 9470, Rep. Act No. 7160 and DECS Order no. 13-A and 13-B, this study aims to determine the extent of compliance and non-compliance of the current policies and practices of the 15 barangays in Quezon City to the relevant laws, rules and regulations on archives and records management.

Specifically, this study seeks to answer these problems:

1. What are the barangays provisions for archives and records management? a. How many barangays have a separate Archives and Records Office/Unit?

b. Do the barangays have existing archival systems in their offices?

c. What are the barangays policies and programs on archives and records

management?
d. What are the barangays practices on archives and records management?

d.1. What are the policies and practices of the barangays regarding the disposal of: d.1.a. their protected records d.1.b. their valueless records d.1.c. their public records
e. How do the barangays store and maintain their records? 2. What are the current archives and records management practices that are being

done by the Staff in the barangays?

a. How many barangays have Records Officers (RO) in their offices?

a.1. What are the responsibilities and duties of the RO regarding archives and records management? a.2. What are the practices of the RO in handling barangay records? b. Barangay Secretaries: b.1. What are the responsibilities and duties of the Barangay Secretaries regarding archives and records management?

c. Barangay Treasurers: c.1. What are the responsibilities and duties of the Barangay Treasurers regarding archives and records management? d. Barangay Heads: d.1. What are the responsibilities and duties of the Barangay Heads regarding archives and records management? 3. What are the recommendations that could be suggested to further improve the archives and records management practices of the barangays?

Objectives of the Study The main objective of the study is to gain knowledge on the compliance and noncompliance of barangays to the archives and records management-related laws and orders. Other objectives of the study are the following:
1. To determine how many barangays have separate Archives and Records

Offices, existing archival systems, policies and practices on archives and records management.
2. To know the policies and practices of the barangays regarding the disposal

of different barangay records.

3. To find out the practices of the barangays regarding records storage and

maintenance.
4. To determine how many barangays have Records Officers, their

responsibilities, duties and practices on archives and records management

and to find out the responsibilities and duties of the Barangay Secretaries, Treasurers and Heads regarding archives and records management. 5. To come up with recommendations that will further improve the existing status of archives and records management of the barangays and their compliance to the laws and regulations.

Significance of the Study The researcher believes that this study will help the officials and personnel incharge of the records and archives understand the condition and importance of barangay archives and records. This would therefore improve the existing practices of recordkeeping in the basic units of government. With the prompt and proper implementation of the output and recommendations, the expected benefits and beneficiaries would be making barangay officials aware of the laws and guidelines regarding archives and records management. This will enable the barangay officials and staff assess and re-assess their policies and practices on archives and records management for them to attain better management and service in the barangay. Other branches of the local government will also benefit from this study, as they will get insights, as well as better practices on how to manage their respective local government records based on the standards and laws, rules and regulations. Through this, the common mistakes on recordkeeping done by these branches of local government included in this study may be avoided to be replicated.

Scope and Limitations of the Study The researcher studied and identified the policies, rules and regulations that are relevant to the local government units, specifically in the barangay level. Out of 142 barangays, 15 were selected to be the subjects of this study. The respondents were the heads of the barangays and the records officers/archivists or records custodians. The focus of this study was to determine the compliance and non-compliance of barangays with the archives and records management-related laws and guidelines. Only laws and guidelines from Rep. Act No. 9470, Rep. Act No. 7160, DECS Order No. 13-A and 13-B that apply to the barangay units, barangay officials and staff and to their archives and records units/office, their practices and policies were considered in this study. Laws/Guidelines referring to the duties/responsibilities of the National Archives of the Philippines (NAP) and the Executive Director (ED) were not included in the study. The study included 15 selected barangays in the four districts of Quezon City. Unfortunately, during the course of data gathering, only 14 barangays participated.

CHAPTER II REVIEW OF RELATED LITERATURE

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This section presents the studies and other literature done in the past that are related to this study and support the research objectives. The studies included are about the management of public records, legislative frameworks of public records, standardization of archives and records management, and some other relevant local studies on archives and records management.

Foreign Studies on the Management of Public Records and Archives In the article written by Edwin Bridges (1991) entitled, State Record Laws and the Preservation of an Archival Record, he said that the management of public records is becoming an increasing challenging task. Expanding government services have created new classes and massive quantities records. New technologies for recording and communicating information employ dizzying array of media and equipment. These changes are overwhelming current laws and practices of the management of modern government records. In an electronic information environment, the systematic preservation of long term records can be the result of purposeful decisions and deliberate efforts. People designing and operating information systems have to decide what documentary records are to be produced and take steps to ensure that the records are produced and preserved. To ensure the preservation of a documentary record, state laws prescribing the requirements and procedures for managing public records need to be examined and updated (Bridges, 1991).

Standardizing Records and Archives Management

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Archives management is the general overview of a program to acquire, appraise, arrange, preserve, authenticate and give access to permanently valuable records (Society of American Archivists, 2005). Archives management is also concerned with the establishment of the programs mission and goals, securing needed resources to support its activities and evaluating the programs performance (Society of American Archivists, 2005). Records management is defined by the SAA as the systematic and administrative control of records throughout their life cycle to ensure efficiency and economy in their creation, use, handling, control, maintenance, and disposition (Society of American Archivists, 2005). In the SAA website, Guercio 2001 was cited: The general purpose of a system of records management is that of providing the creator with the records necessary to support the efficient continuation of its activities, guaranteeing the recorded evidence, whether for internal purposes or for regulatory compliance. The specific objectives concern: the production and acquisition of reliable records for legal and technical purposes; the organization of the creation of records in an orderly and coherent manner linked to the functions performed; the transmission and preservation of authentic records; the speed and efficiency of retrieval in the context of the administrative activity carried out (p. 252). It is a given fact that all agencies in different government units have voluminous materials as a result of daily business transactions between the public offices and the people in the community. These materials come in different types and forms. Hence, there is the need for an orderly, systematic, efficient and proper control and management in recording and archiving materials. It is important for any institution to have a good archives and records management. This allows the system to function properly, not only in meeting internal and external legal requirements but also in ensuring that permanent records are properly preserved. There are

12

some mandatory guidelines issued by the authorities to the government sector for systematic and uniform archival and records management practices. In the article written by Nikki Swartz (2008), entitled, New Records Standards for New Zealand, she said that Archives New Zealand Minister Judith Tizard has introduced two new recordkeeping standards for local and federal government agencies: the Create and Maintain Recordkeeping Standard and the Electronic Recordkeeping Metadata Standard. Tizard said that, information management is an important and essential legacy. Well kept information brings the past into the future and ensures government is transparent and accountable. The Create and Maintain Standard is now mandatory for government organizations, which identifies the key requirements for successful information management and establishes minimum requirements for organizations information to remain usable, reliable and available. The mandatory Electronic Recordkeeping Metadata Standard encourages a systematic approach to managing information in business systems where questions about who created the records, for what purpose and whether records were altered can be answered. The new standards are consistent with International Organization for

Standardization or ISO. These were developed in cooperation with the e-Government Interoperability Framework and in consultation with government and local body agencies. These compliment the 2007 Standard for the Storage of Records and Archives, the first mandatory standard that set the requirements for physical records storage in central and local government. These standards give power to the Public Records Act 2005 in New

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Zealand and help from the basis for independent audits of central government recordkeeping in 2010 (Swartz, 2008). From the series introduction of Geoffrey Yeo (2002) in the book entitled Community Archives: the shaping of memory, he said that records are critical in maintaining awareness of how the present is shaped by the past. Individuals and organizations create records in line with their functions and activities. These records are maintained and preserved to support business and accountability of the individuals and organizations concerned. Everyone has records. However, the management of these records is a professional discipline not everyone possesses. The term records and archives are sometimes used as synonyms, but archives usually are records with long-term value. It could also be used to refer to collections of historical materials which are important for the communities awareness of its past and present. In the same book, Richard J. Cox (2002) said that principles and practices in records management and archives administration aim to disseminate information and add to the body of professional knowledge and understanding. Cox (2002) also said that the new emphasis by archivists on building and interacting with community is reflexive of the kinds of opportunities represented by the many new social computing technologies available to everyone. Cox (2002) cited Andrew Flinn when the latter said that it is clear that involvement with both digital archives and with community campaigning groups challenge the notion that the archivist can afford to be a passive recipient of the records. This is because archivists should be active in pursuing community-based agendas. Their

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skills should be enhanced to properly adapt with the societal changes instead of being passive record keepers.

Guidelines, Laws, Rules and Regulations Related to Archives and Records Management in the Philippines Republic Act No. 9470 or the National Archives of the Philippines Act of 2007 that states in Article III, Section 13 that: All government offices shall each establish their archives and records office/unit in coordination with the Department of Budget and Management (DBM) and the National Archives from their organic personnel within a year from the date of effectivity of this Act. The records officer or an archivist of a government office shall head the said archives and records office/unit. Rep. Act No. 7160 or the Local Government Code of 1991, Section 374 states that: Every local government unit shall provide for the establishment of archival system to ensure the safety and protection of all government property, public documents or records such as records of births, marriages, property inventory, land assessments, land ownership, tax payments, tax accounts, and business permits, and such other records or documents of public interest in the various departments and offices of the provincial, city, or municipal government concerned. In addition to the Republic Acts mandating guidelines for systematic and uniform archival and records management, the Department of Education, Culture and Sports (DECS) issued DECS Order No. 13-A and 13-B. DECS Order No. 13-A -- Guidelines on the Decentralized Disposal of Valueless Records in Government Agencies, have five (5) parts; (1) Coverage, (2) Definition of Terms, (3) Records Disposal Procedure, (4) Penal Provisions and (5) Miscellaneous

15

Provisions. This Order prescribed uniform standards or guidelines to be followed by government office/agencies in the disposal or distribution or destruction of their valueless or unnecessary records (DECS Order No. 13-A, 1988, p. 8). DECS Order No. 13-B -- Rules and Regulations Governing the Coordination of Records Management and Archives Function have six (6) articles; (1) Coverage, (2) Definition of Terms, (3) Records Management and Archives Administration, (4) General Provisions, (5) Penal Provisions and (6) Miscellaneous Provisions. This Order prescribed rules and regulations governing the coordination of records management and archives function. Knowing all these information, the researcher of this study aims to find out if and how these provisions are being carried out in the local government units, especially in the barangays. According to Rep. Act No. 7160, Section 384 The Role of the Barangay - As the basic political unit, the barangay serves as the primary planning and implementing unit of government policies, plans, programs, projects, and activities in the community, and as a forum wherein the collective views of the people may be expressed, crystallized and considered, and where disputes may be amicably settled. The barangay is the basic political unit that serves as the primary planning and implementing unit of government policies (Rep. Act No. 7160, 1991). All the Republic Acts and DECS Orders should first be implemented faithfully in the barangay level. In the hierarchy of the units of government, the barangay is the most basic unit. It is important that proper archives and records management be observed here to ensure that all transactions and records are properly handled. So when records or information are called

16

for in the next higher level, accuracy and authenticity of the materials are carried over, hence they are reliable in the use for which they are needed.

Local Studies on Archives and Records Management of Public Records Nofuente (1981) conducted a study entitled, Records Management Practices of International Organization: A Survey. This is a descriptive survey of 13 international organizations based in the Philippines, as regards their records administration. It surveyed procedures and techniques on recordkeeping, described the processes used to plan the creation of records, determine the design and utilization of a records classification scheme and the filing system of the organizations included in the study. The study found out that records were decentralized and the units holding the records were under larger departments. Records management practices were not standardized and the idea of establishing a records center/unit was not present either. The staff in-charge of recordkeeping work were also untrained and concerns about records management were often taken for granted by the top management.

The study recommended the following; there should be a centralized control and management of all company records, training of record staff must be required, guidelines governing policies and practices on record management should be issued and made mandatory. Rey (1997) conducted a research study entitled, A Survey of Training Needs of Archives Administration for Records Personnel and Archivists in Local Government Units

17

in Region I. The key figure in the management of a standard record and archive unit is the record manager or archivist. The need for trained record keepers had become the focus of interest, hence the undertaking of this paper. The kind of educational background and preservice training was the target of the survey. The function of the record workers, the kind and amount of support they get from their employers and their preferred modes of continuing education were also surveyed. The research tools used were two questionnaires (one for records personnel and one for human resource management officers) and structured personal interview with the main respondents. The Local Government Code of 1991, Sec. 374, Sec. 469 and Sec. 490, which identified the person responsible for archive duties, was used as a standard and guide in the study. The target respondents were from 129 municipal, city and provincial LGUs. It was found out that 36% of the LGUs had no specific names for their record and archive units. The records of many LGUs were decentralized and dispersed among the different departments, where the one in-charge of the records is either the chief or the head of the department. Records in the Office of the City Mayor were handled by a clerk, while there is no one in-charge of the records in the Sanggunian Office.The record and archive personnel in the LGUs surveyed had varied preservice baccalaureate education. They have no formal training and education regarding archives and records management. Buenrostro (2005) did a study entitled, Reference Service and Provisions for Access of Selected Archives of Government Institutions in Metro Manila, to identify the kind of reference service and provisions for access by selected government archives in Metro Manila, the service procedures followed by the archives personnel and to determine

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the policies on archival access to users. The subjects of the study were the Presidential Archives of the Office of the President, Legislative Records and Archives Office of the Senate of the Philippines, Cultural Center of the Philippines Library and Archives, Legislative Archives Service of the House of Representatives and Records Management and Archives Office. Survey questionnaires, interviews and document analysis were employed to gather data. The findings of the study revealed that all five government archives were established to become repositories of records of their parent institutions and to make them available to the public. The Philippine Constitution and the Presidential Executive Order No. 89 govern the access policies of the five archives. The archives differ in their policies and procedures because of the nature of collections each of the institutions, users and institutional mission. The study recommended that in the management of reference service, the mission of archives must be clearly stated, the groups of people to be served be identified, the staff tasks be clearly defined, locating and finding aids be accessible to users, summary reports must include new lists of acquisitions, as well as the services and programs rendered by the institution. Silagpo (2008) conducted a research entitled, A Study on the Existing Records Management Practices of Sangguniang Panlungsod ng San Jose Del Monte, to know the existing records management practices of the Sanggunian with the goal of upgrading and standardizing the records management practices of this office.

19

The respondents in the study were the secretary and staff of the institution. The data gathered were compared with the best practices according to ISO 15489-1 and ISO 154892. Findings of the study revealed that Sanggunian just file/pile records in a rusty steel cabinet placed outside of the secretarys office. The filing system used differs from one employee to another. Because of this, records were usually misplaced or lost. The recommendations of the study included strict observation of the ISO 15489-1 and ISO 15489-2; there should also be a sufficient budget appropriation for the maintenance of records; records management personnel should undergo trainings on different archival and records management functions based on ISO 15489-1 and ISO 15489-2. Garcia (2009) made a case study entitled, Establishing Government Municipal Archives Case Studies of Local Government Archives Practices. This study focused on six local government units from different regions that were able to establish their own archives. The researcher made use of qualitative research method and used interview schedule as her main research instrument. The study aimed to determine the establishment of local government archives pursuant to the Local Government Code of 1991, Sec. 374, to find out archival practices of these government units as well as their mandates, policies, archives services and administrative support they received. The study revealed that there were two successfully established local government archives in the NCR, the Archives Section of the City Secretarys Office of Q.C. and Brgy. Capri Archives, Novaliches, Q.C. In Region I, the Archives Division of the General Service Office in Pangasinan and the City Archives and Archives of the Secretary to the Sangguniang Panlungsod of the City of San Fernando, La Union. In Region X, the Lugait

20

Library Archives, Museum and Information Center in Misamis Oriental was also successfully established. All six local government units archives offices were established pursuant to the Local Government Code of 1991, Sec. 374. The success in the establishment of the local government archives is attributed to the management and administrative support of the local government and the initiative, perseverance and teamwork of the people concerned in the establishment of the archives. Thus, the local government archives cited in the study can serve as models for other government units in the country that are planning to have their own archives as well. Golfo (2010) conducted a research study entitled, Towards a Standard Archive and Record Management System for Government Corporation and Financial Institutions in Metro Manila. The importance of proper and standardized archive and records management is gaining recognition among the authorities in the field. The agencies were evaluated based on the combined requirements set forth by the Records Management and Archives Office (RMAO) or the National Archive Act pertaining to the Records Management processes and control aspects, Rep. Act No. 9470 and RMAO, DECS Order 13-A (Guidelines on the Decentralized Disposal of Valueless Records in Government Agencies) and Section 4.2.1 and of ISO 15489-2 (Guidelines). Findings showed that although 100% compliance to standards and best practices was not achieved, efforts to put order in handling of records are being undertaken. The lack of formal training and sufficient knowledge in handling archives is one of the major reasons why basic requirements in archive administration were not implemented and

21

practiced in the GOCCs and GIFs. There was also no monitoring mechanism to check on the agencys compliance to the law and standards. The said study recommended that agencies should set up a separate records unit with the necessary level in the organizational structure based on the volume and importance of records in the unit. Formal training of personnel was also recommended to meet the need for required knowledge and skills in maintaining and controlling the archives and records unit. It was also deemed necessary that RMAO, now known as the NAP come up with a standard for archives and records management designed for GOCCs and GIFs. The above given literatures are closely related to this researchers study that is being undertaken. The stated need for properly trained record and archive management archives and records management: personnel is stressed in almost all of the mentioned studies. Implementation of appropriate Office/Unit
Republic Act No 9470 a. Archives and Records b. Archival System d. Practices 1. Barangays Provisions for

policies and practices in the LGUs on records and archives Policies and Programs c. management is the responsibility of the records personnel, heads of the departments and d.1. LGUs themselves, the Disposal
d.1.a. of protected records d.1.b. of valueless records who are the key figures in establishing and maintaining fully functional and effective Republic Act No. 7160 d.1.c. of public records e. Storage IRR of Rep. Act No. 9470

archives and records centers.

DECS Order No. 13-A

Conceptual Framework of the Study

DECS Order No. 13-B

2. Staff: a. Records Officer a.1. responsibilities/duties regarding archives and records management a.2. practices on handling records b. Brgy. Secretary a.1. responsibilities/duties regarding archives and records management c. Brgy. Treasurer a.1. responsibilities/duties regarding archives and records management d. Brgy. Head a.1. responsibilities/duties regarding archives and records management

22

Figure 1. Schematic diagram of the research study The study intends to find out the provisions and segments of the implementing rules and regulations of the Rep. Act No. 9470, Rep. Act No. 7160, DECS Order No. 13-A and 13-B that are being observed in the 15 barangays in Quezon City. To meet this general objective, the study looks into the archives and records management issues of the barangays, the archives and records management programs, policies and practices including the disposal and storage of barangay records. Aside from the actual provisions of the barangays for the management of archives and records, the responsibilities and the actual recordkeeping practices of the staff, such as Records Officers, Brgy. Secretaries, Brgy. Treasurers and Brgy. Heads are also analyzed based on the laws, rules and regulations on archives and records management.

23

Thus, after determining and analyzing the extent of compliance of the barangays and their staff to the provisions and implementing rules on archives and records management, recommendations would be made to further improve the existing practices and system on archives and records management in the different barangays.

Definition of Terms For the purpose of this study, the following definitions of terms were used: Agency head (may refer to Barangay Head) - refers to the person responsible for the performance of a government office and/or the person responsible for, the performance of the LGU, such as the chief executive elected under the Local Government Code of 1991 (Rep. Act No. 9470, 2007). 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

24

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 (Rep. Act No. 9470, 2007). Archives management/ Archives administration - The general oversight of a program to appraise, acquire, arrange and describe, preserve, authenticate, and provide access to permanently valuable records (Society of American Archivists, 2005). Barangay (Brgy.) - basic political unit in the Philippines. Barangay Head (may refer to the agency head) - head of the barangay office, commonly known as the Barangay Captain. DECS - Department of Education, Culture and Sports Disposal - refers to the act of selling, burning or any other way of discarding valueless records in accordance with the provisions of this Act (Rep. Act No. 9470, 2007). Disposition - refers to the systematic sorting out of records in the office storage whereby those classified as valuable records are permanently preserved and those which are classified as valueless are disposed of (Rep. Act No. 9470, 2007). Executive Director (ED) - refers to the head of the National Archives of the Philippines (Rep. Act No. 9470, 2007). GFI(s) - Government Financial Institutions

25

GOCC(s) - Government-Owned and Controlled Corporations IRR - Implementing Rules and Regulations ISO - International Organization for Standardization Local government records - refers to records in any form, in whole or in part, created or received, whether before or after the effectivity of this Act, by an LGU in the conduct of its affairs (Rep. Act No. 9470, 2007). Local government archives - refers to local government records that have been collected by the controlling local government unit that served as historical evidences in the performance of its duties (Rep. Act No. 9470, 2007). LGU(s) - Local Government Units National Archives - National Archives of the Philippines (NAP) Protected records - refers to local government records containing data that are important from economic, social, political, legal, national security, scientific, cultural, technological or other aspects, which are indispensable for the research of historical past, for becoming acquainted with and understanding it, and/or for the continuous fulfillment of public duties and the realization of citizens' rights, which are not or only partially available from other sources (Rep. Act No. 9470, 2007). Public records - refers to record or classes of records, in any form, in whole or in part, created or received, whether before or after the effectivity of this Act, 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 (Rep. Act No. 9470, 2007).

26

Records - refers 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; (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 (Rep. Act No. 9470, 2007). Records Center - refers to an intermediate repository in which noncurrent records of various government offices are stored until they can be destroyed or transferred to the National Archives (Rep. Act No. 9470, 2007). Records Custodian - 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. May be designated temporarily by the head of the agency or appointing body, in the absence of a qualified Records Officer (Rep. Act No. 9470 IRR, 2008). Records Office/Unit - refers to an organizational unit responsible for planning, developing, prescribing, disseminating and enforcing policies, rules and regulations and coordinating agency-wide records management program (Rep. Act No. 9470 IRR, 2008). Records Officer - person-in-charge of the records office/unit in the Barangay.

27

Records Management (RM) - The systematic and administrative control of records throughout their life cycle to ensure efficiency and economy in their creation, use, handling, control, maintenance, and disposition (Society of American Archivists, 2005). RMAO - Records Management and Archives Office Valueless records - Include all record materials that reached their prescribed retention periods and usefulness to the agency or the government ads a whole (DECS Order No. 13A, 1988)

CHAPTER III METHODOLOGY

Research Design This paper used descriptive research method. Questionnaires were used to gather data to identify the extent of compliance of 15 randomly-selected barangays in Quezon City to the existing laws, guidelines and rules and regulations on archives and records management. The first part of this study involved the identification of existing laws, guidelines and rules and regulations on archives and records management in local government units

28

such as the barangays. Provisions and sections of these laws that are applicable to barangays were used, especially the ones stated in the Republic Act No. 9470 and Rep. Act No. 7160 and DECS Order No. 13-A and 13-B as the basis for evaluation. In the second part of the study, data from the 15 randomly selected barangays in Quezon City were gathered through a survey questionnaire. The respondents (Barangay Secretaries, Treasurer, Records Officer, Records Custodians, Archivists and Barangay Heads) were respectfully requested to answer the questionnaire. The Records Officer was likewise requested to make sure that the questionnaire was accomplished properly by the designated respondents. A follow-up interview was also done as the researcher gathered the data needed. The third part involved the assessment of the extent of compliance and noncompliance of each barangay to the laws and guidelines identified in the first part of this study. The data gathered were interpreted, analyzed and presented through some tables in the following chapter. Lastly, recommendations for the necessary improvement of the system of archives and records management of the 15 barangays were given.

Population and Sample At present, there are 142 barangays (Brgy.) in Quezon City, which are divided into four districts. There are 37 barangays in District I, 30 in District II, 37 in District III and 38 in District IV. Due to the limited time, budget and manpower of the researcher, only 15 barangays were included in this study, four each from Districts I, III and IV, and three from District II.

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This study used stratified random sampling. The barangays in Quezon City were divided into four districts and a total of 15 barangays were randomly selected from these. However, only 14 barangays participated in the study. Barangay St. Peter did not participate because the Barangay Secretary was on leave. The selected barangays per district are the following: DISTRICT I:
1. Brgy. Bahay Toro 2. Brgy. Katipunan 3. Brgy. Paraiso 4. Brgy. St. Peter

DISTRICT II:
1. Brgy. Culiat 2. Brgy. Sangandaan 3. Brgy. Batasan Hills

DISTRICT III:
1. Brgy. ESCOPA I 2. Brgy. Marilag 3. Brgy. Milagrosa 4. Brgy. Socorro

DISTRICT IV:
1. Brgy. Kalusugan 2. Brgy. Obrero

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3. Brgy. Pinyahan 4. Brgy. Teachers Village West

In each barangay, the respondents were the Barangay Head/Captain, Secretary, Treasurer and the Records Officer, Records Custodian or the Archivist.

Research Instrument/s The main research instrument used in this study to gather data is a survey questionnaire. Questionnaires were distributed to the selected barangays and given to the officers-in-charge of the Records Offices of each barangay. The survey questionnaire included questions on the barangays provisions for archives and records management, their archives office/unit, archival system, policies and programs, disposal practices, storage and the responsibilities and duties of their staff on archives and records management. The respondents (Barangay Secretaries, Treasurer, Records Officer, Archivists and Barangay Heads) were requested to answer the questionnaire. A week was given to each barangay to accomplish the questionnaire. Follow-up interviews were done upon collecting the questionnaires from the respondents.

Data Presentation and Analysis The number of respondents was very small, so the actual numbers were used in the analysis and presentation of data collected. Tables were also used in the presentation of data in Chapter IV.

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CHAPTER IV PRESENTATION, ANALYSIS AND INTERPRETATION OF DATA

This chapter presents the presentation, analysis and interpretation of the data gathered. Out of 15 barangays that were initially chosen for this study, only 14 participated. Despite the persistent follow-up done by the researcher, no response was received from Barangay. St. Peter because the Barangay Secretary was on leave.

Barangays Provisions for Archives and Records Management According to the IRR of Rep. Act No. 9470, Article 32:

32

Upon the effectivity of these Rules, every LGU should establish an archival system to ensure the safety and protection of all public documents and records such as records of births, marriages, deaths and such other documents and records of public interest in the various offices and departments in the province, city, or municipality, and the barangay concerned. Based on the responses made by the barangays, six of them have existing archival system in their offices. These are Brgy. Sangandaan, Bahay Toro, Katipunan, Paraiso, Culiat and Kalusugan. However, they failed to show their written policies and programs as forms of documentation and evidence of the existence of the said archival systems. The absence of an archival system in the barangay level makes the records vulnerable and less protected. Important records might be lost or damaged due to improper handling and poor security. None compliance to IRR of Rep. Act No. 9470 would entail negative effects to the barangays, not only in the state of their records, but also in their transactions and overall administration. None of these barangays has ever been inspected by the Executive Director (ED) of the National Archives of the Philippines (NAP). According to the IRR of Rep. Act No. 9470, Rule 48, Article 79: The ED may, after giving reasonable notice of fifteen (15) working days to a government office inspect the system and procedure of maintaining, including the storage or condition, of such public records that are under the possession, custody or control of that office: Provided, however, that the ED is prohibited from exercising such power to inspect in cases where public records: (a) carry security classifications; and (b) are restricted by other legislation without the consent of the head of the controlling government office.

33

Since the ED has never inspected the barangay records, the barangays, in turn, have no idea that the ED can assess their recordkeeping and archival practices. They have not asked assistance from the NAP on their barangay records and archives.

Barangays Policies and Programs on Archives and Records Management According to DECS Order No. 13-A, Article III, Rule 3.1: Each agency shall have a Records Disposition Schedule, to be accomplished in the prescribed form (Form 2) covering its substantive records and those records not included in the General Records Schedules to serve as its guide in the disposition of records subject to approval of the Records Management and Archives Office [now known as the National Archives of the Philippines or NAP]. Table 1 shows the degree of implementation of policies and programs on archives and records management by the chosen 14 barangays in Quezon City as required by the related laws, rules and regulations, specifically by the DECS Order stated above.

Table 1 Barangays policies and programs on archives and records management

Barangays
Records Disposition Schedule File Breaks Set of standards and criteria Records Mgt. Operations Manual File Classification Guide/Scheme Retention Code Records Mgt. Program Records Mgt. Production Control Program

Improvement Committee

Marilag Socorro Bahay Toro Sangandaan X X X X X X

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Batasan Hills Paraiso ESCOPA I Milagrosa Pinyahan Katipunan Teachers Village West Obrero Kalusugan Culiat Total 0 1 5 0 5 2 0 0 0 X X X X X X X

Records Management Procedures and Controls Records Disposition Schedule Records Disposition Schedule (RDS) serves as an agencys guide in the disposition of their records. If there is no RDS in an institution, disposal of their records will be unsystematic, untimely and illegal. It must be noted that all the documents produced in the barangays, which are local government units, are public properties. As shown in Table 1, none of the barangays has a Records Disposition Schedule. This shows that all of the barangays do not have systematic and organized schedules for records disposal. This could lead to loss of important and permanent records. This also

35

shows the non-compliance of most barangays to DECS Order No. 13-A, Article III, Rule 3.1 cited before Table 1.

File Breaks File breaks are the termination of filing activity for a particular file at a predetermined time or after the lapse of a specific event and beginning of a new file period (DECS Order No. 13-A, 1988, p.8). It is important for an institution to have specific file breaks so that their filing activities have a specific duration, schedule or time. This is done to avoid confusion in filing their records and to make their retrieval of records easier for future use. According to Brgy. Bahay Toro, they have a File Break. It is usually done when the new administration takes over. There is no specific file break followed when managing records. This shows that the barangays do not usually have a specific and written policy regarding their filing periods, making their filing activities unsystematic and irregular. Other barangays are filing their records daily. Usually after the transactions are done, they simply put these in the filing cabinets. Their files are organized by year and then by month. However, they do not have a specific file break. The barangays usually file their records as long as there is available space in the filing cabinets. This shows the non-compliance of most of the barangays in DECS Order No. 13-A, Rule 12, which states: 12.1 Each agency shall determine when to have its file breaks. File breaks are generally set during the slack periods of filing and servicing. A file break may be set at the end of the fiscal year or calendar year.

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12.2 Records shall be disposed of periodically, usually once a year, soon after a file break. If there are no file breaks, records will continue to pile-up, making the organization, search and retrieval of records more difficult.

Standards and Criteria For an agency to have an organized and systematic records management, it should have a set of standards and criteria for the efficient use of filing equipment and floor space for the records. This would result to better management and handling of records. In DECS Order No. 13-B, Article III, Rule 2.5, it is stated that, each agency shall set standards and criteria for the maximum utilization of filing equipment and floor space for maintaining and servicing files (p.15). Five barangays, Brgys. Bahay Toro, Sangandaan, Paraiso, Katipunan and Kalusugan have set of standards and criteria for the maximum utilization of filing equipment and floor space for maintaining and servicing files. However, they were unable to show the written set of standards for this. Instead, their standards are based on the agreement among the personnel and head. Lack of standards and criteria would obviously lead to inefficient utilization of resources.

Records Management Operations Manual According to DECS Order No. 13-B, Rule 2.6: Each agency shall develop and maintain a records management operations manual which shall contain the functions, organizational chart of the records unit, policies and standard operating procedures on records activities.

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A records management operations manual is very important for an institution to have an effective and systematic records management. It contains all the written policies, charts and standard procedures on records activities of their institution. Agencies that fail to structure a records management operations manual will surely have problems regarding their filing and retrieving systems. Unfortunately, none of the barangays has this manual in their offices. This just shows that in the barangay level, this order is not being properly implemented. This might lead to improper, unsystematic and unorganized handling of their records.

File Classification Guide/Scheme According to DECS Order No. 13-B, Rule 5.2, each agency shall develop a File Classification Guide or Scheme based on its organization and functions for a uniform filing system (p.16). Five barangays, Brgys. Socorro, Bahay Toro, Pinyahan, Katipunan and Kalusugan claim they have File Classification Guide/Scheme in their offices. However, the file classification schemes they are using are not documented and are purely based on practical approaches. There might be a simple or verbal undocumented agreement among the employees to use the existing file classification scheme. This shows that most of their policies on archives and records management are not formally written. Written policies on archives and records management are very important. The staff may have different understanding among themselves or interpretations of their verbal agreements as to how they implement their file classification guide. This may lead to

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different filing systems that can cause inefficient filing of records, making it difficult for users to locate the records they need.

Retention Code Retention code is a numeric symbol by which a file material may be retained or disposed of (DECS Order No. 13-B, 1988, p.14). Assigning retention codes on records facilitates faster, easier and systematic organization, storage and disposal of records. None of the barangays has a retention code. This shows the non-compliance of all the barangays to DECS Order No. 13-B, Rule 5.3, which states that, Retention Code shall be affected by each agency based on the General Records Schedule and the agencys Records Disposition Schedule before the records are filled (p.16).

Records Management Programs Establishment of a Records Management Program Managing records in an institution requires a lot of knowledge and experience. Changes are inevitable, so records personnel, records management policies and practices must also adapt to these changes. According to DECS Order No. 13-B, Rule 2.1: All departments, bureaus and offices of the executive, legislative and judiciary branches, including constitutional offices and government-owned and controlled corporations, shall establish and maintain an active continuing program for the effective management of their records. None of the barangays in this study has a Records Management Program. This implies that all of the barangays do not have a continuing program for the effective

39

management of their records. Through the years, the barangays are having difficulty in improving their archives and records management practices.

Records Management Improvement Committee (RMIC) It is important for an agency to have a Records Management Improvement Committee. This committee is responsible for assessing and improving current programs, policies and practices on records management in their offices. According to DECS Order No. 13-B, Rule 2.4: Each agency shall create a Records Management Improvement Committee as an advisory body on the improvement of all phases of records management, the Chairman and members of which shall be designated by the head of the Agency. Unfortunately, none of the barangays has a Records Management Improvement Committee. This shows that all of the barangays who participated in the study failed to comply with DECS Order No. 13-B, Rule 2.4 as cited above. It shows that all the selected barangays do not have a formal committee which is responsible for improving their records management practices. The barangays do not have budget for the creation of a Records Management Improvement Committee.

Production Control Program According to DECS Order No. 13-B, Rule 4.1.1: Each agency shall have an integrated program in the creation of necessary records and copies thereof, including reports, forms, issuances to the

40

absolute minimum in the most economical way consistent with efficient and its responsibility. None of these barangays has a Production Control Program. This may lead to problems in their records activities in the long run. The problems may arise when several records officers or staff will be doing their jobs in accordance with their individual understanding on the production, filing and classification of records in their offices. Different staff members would be doing their jobs based on their own convenience.

Local Government Records Protected Records Government records are important because these are used to properly govern people in a community as well as to make the people aware of their rights and duties. Thus, local government units, such as barangays, should protect their records. According to the IRR of Rep. Act No. 9470, Rule 41, Article 66, The ED may, by notice in the Official Gazette made after consultation with any local government concerned, declare that a local government record is a protected record for purposes of this Rule (p. 1472). All 14 barangays consider local government records as protected records. It is good to know that all of the barangays are concerned and compliant with the law stated above. This shows that most of the barangay officers know the importance of their records. This might be an assurance that records are safe and are being protected in their custody. The barangays consider all of the records that they have as protected records. These include

41

accounting records, voters lists, business transactions and records involving money, properties and personal information of the barangay staff, officials and residents, etc.

Public Inspections of Open Access Records Open Access Records should be made available to the public. This will ensure the transparency of the government unit. This also builds trust between the local government unit and the community it serves. According to the IRR of Rep. Act No. 9470, Rule 57, Article 107: An open access record shall be made available for inspection by the public as soon as it is reasonably practicable after a request to inspect the record is made to the government office, the LGU, the approved repository, or the National Archives of the Philippines, whichever has possession of the open access record. Thirteen barangays have Open Access Records available for inspection by the public given that the people are authorized to see or inspect the records. Open access records include barangay clearances, certifications, projects, resolutions, ordinances, business permits, etc. Only Brgy. Teachers Village West does not allow the public to view any barangay record. According to the Brgy. Treasurer, people who want to see barangay records usually have bad motives. They just want to protect their records. He also said that they may allow a person to view their records if this person has permission from the Quezon City Hall.

Records Maintenance and Control Centralized Receiving and Releasing Unit

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It is important for any agency to have a centralized receiving and releasing unit to have a smooth and organized flow of records activities. According to DECS Order No. 13B, Rule 5.1, Each agency shall have a centralized receiving and releasing unit of all communications for proper recording and routing procedures under the accountability of the Records Division, section or unit (p.16). Three barangays, Brgys. Socorro, Sangandaan and Bahay Toro have a centralized receiving and releasing unit for all communications of records and transactions. They have windows or tables for receiving and releasing records. Eleven barangays do not have these. Five of the 11 barangays, Brgys. Pinyahan, Katipunan, Paraiso, Culiat and Milagrosa have reception areas where people who have inquiries are entertained. The remaining six barangays, Brgys. Teachers Village West, Obrero, Batasan Hills, Kalusugan, Marilag and ESCOPA I do not have centralized receiving and releasing units neither do they have reception areas. The people going to these barangays go directly to the barangay section where they need to go. These are the pictures of Brgy. Pinyahan and Brgy. Paraisos reception areas:

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Figure 2. Barangay Pinyahans reception area

Figure 3. Barangay Paraisos reception area

The following are the pictures of Brgy. Bahay Toro, Brgy. Sangandaan and Brgy. Socorros centralized receiving and releasing units:

Figure 4. Barangay Bahay Toros centralized receiving and releasing unit

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Figure 5. Barangay Sangandaans centralized receiving and releasing unit

Figure 6. Barangay Socorros centralized receiving and releasing unit

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Records Security Local government records are protected records. Thus, the security of these records should be the responsibility of the Records Officer. According to DECS Order No. 13-B, Rule 5.4: 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. Nine barangays separate confidential records from the general files and keep these in secured file containers. The other five barangays, Brgys. Pinyahan, Batasan Hills, Milagrosa, Teachers Village West and ESCOPA I do not separate confidential records from the general files. Most of the barangays Records Officers also serve as Brgy. Secretaries so their records are mostly handled by them. Records Officers are responsible for the security of the barangay files and they are the authorized personnel who can have access to these files and records. The barangays have filing cabinets with locks where they keep their records. They have vaults for confidential records. They also lock the doors of their offices.

Storage of Records In any agency, there should be a proper storage facility for records where only authorized personnel can have access to. This is to ensure the safety and confidentiality of barangay records. According to the IRR of Rep. Act No. 9470, Rule 40, Article 65: Pursuant to the objectives of Rep. Act No. 9470, the following may be established, maintained and operated by the National Archives of the Philippines:

46

(c) Agency Records Centers - to be managed and operated by each government office concerned, they shall be responsible for the maintenance and preservation of public records under the custody and control of each government office. Each barangay has different sections. In eight barangays, Brgys. Culiat, Pinyahan, Bahay Toro, Katipunan, Marilag, Sangandaan, Paraiso and Milagrosa, each section keeps records related to their functions and activities. Each of six barangays, Brgys. Teachers Village West, Obrero, Batasan Hills, Kalusugan, Socorro and ESCOPA I have an assigned area for their records. These are the pictures of the barangays with records kept in different sections (See figures 7-11):

Figure 7. Barangay Culiats records area

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Figure 8. Barangay Pinyahans records area

Figure 9. Barangay Bahay Toros records area

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Figure 10. Barangay Marilags records area

Figure 11. Barangay Paraisos records area

49

Every barangay official is responsible for the records they keep, making the process of filing and retrieving records faster and easier for them. However, for non-current records with enduring value, there should be a storage where it could be preserved and protected. According to DECS Order No. 13-B, Article IV, Rule 13: Each Agency shall maintain and operate a records storage/mini archives of non-current records preparatory to their transfer to the Records Management and Archives Office [now known as the NAP], Records Center or to Archives repository Out of 14 barangays, 9 have records storage/mini-archives of non-current records. This shows that these barangays comply with the provisions stated above. This is an indication that most barangays know the importance of keeping and preserving archival materials in their offices. Barangay Katipunan, and Milagrosa do not have records storage/mini-archives of non-current records because their buildings are under construction. In Brgys. Batasan Hills and Kalusugan, old and new records are in one area. Brgy. Paraiso does not have old records because the previous administration left no records for the succeeding term/ administration. This clearly shows that the awareness of the different barangays on this requirement is not uniform. This may be due to their lack of knowledge of the importance of their records or their inability to properly assess noncurrent records with archival value. In Brgy. Culiat, they transfer records to the archives storage after one year. In Brgy. Marilag, they transfer records after five years. In other barangays, the transfer of records happens when their filing cabinets are full.

50

These are the pictures of Brgy. Culiat, Brgy. ESCOPA I, Brgy. Socorro and Brgy. Teachers Village Wests records storage/mini-archives:

Figure 12. Barangay Culiats mini-archives

Figure 13. Barangay ESCOPA Is mini-archives

51

Figure 14. Barangay Socorros mini-archives

Figure 15. Barangay Teachers Village Wests mini-archives

52

Offenses and Penalties Public records such as records in barangays are very important not only to the agency but to the people in the community. Thus, there should be a law protecting these records, and penalties should be given to those who defy this law. According to the IRR of Rep. Act No. 9470, Title IX, Rule 67, Article 123: A person who, willfully or negligently, damages a public record or disposes of or destroys a public record in violation to the provisions of Rep. Act No. 9470 or contravenes or fails to comply with any provision of said Act or these Rules shall be deemed to have committed an offense. Twelve barangays consider a person who, willfully or negligently, damages a public record or disposes of or destroys a public record as someone who has committed an offense. Barangay ESCOPA I answered No while Brgy. Socorro did not give an answer. This shows that most barangay staff are aware that damaging and/or disposing public records are considered criminal offenses. Their barangays staff may neglect records in their offices, resulting to damages and loss of public records.

Disposal of Records Records are important for any agency. These should be kept in a safe place where only authorized personnel could have access to them. They should be preserved, filed and organized in such a way that legal, financial, social and cultural use of these records would be much easier and faster. Records should also be properly assessed before their disposal because untimely disposal of records might result to loss of important records. Because of daily transactions, records can easily accumulate in an agency, and there will come a time when periodic disposal of records shall become necessary.

53

Disposal of Public and Protected Records The disposal of records is procedural. This includes securing written authorization from the ED and giving notice to the ED prior to disposal. According to the IRR of Rep. Act No. 9470, Rule 30, Article 46: No government department, bureau, agency and instrumentality shall dispose of, destroy or authorize the disposal or destruction of any public records, which are in the custody or under its control except with the prior written authority of the ED. The heads of barangays also need to give the ED at least 30 days notice before they dispose their records. This is required according to the IRR of Rep. Act No. 9470, Rule 32, Article 48, which states that: Before authorizing a disposition of public records as prescribed in Rep. Act No. 9470, the head of a government office shall give the ED at least thirty (30) days notice prior to: (a) the intention to transfer control of the public records, with a general list and description of the public records concerned; (b) the intention to dispose the public records, with a general list and description of the public records concerned; and (c) the place where additional information may be obtained on the public records concerned and the person to whom any comments may be sent. Another law regarding the disposal of records is from the IRR of Rep. Act No. 9470, Rule 41, Article 68, which states that: An LGU shall not dispose of protected records unless it has: (a) notified in writing the ED of its intention to dispose of the protected records; (b) identified the protected record concerned; and (c) specified how it intends to dispose of the protected records All 14 barangays claim that they do not dispose public and protected records. They also do not have a Records Disposition Schedule. If these barangays truly do not dispose

54

protected records, the records would have accumulated in their offices by now. However, the oldest record is dated in 1992 in Brgy. Teachers Village West. The oldest records in some barangays are dated from 2001-2010. In Brgy. Paraiso, they have only started accumulating records when the current administration took office. The Brgy. Secretary said that records from the past administrations were destroyed by the typhoon Ondoy. The storage and preservation of such records should be the concern of the barangays. Records officers have to decide the quantity and the time of disposal of old and obsolete protected records. This could be done if a Records Disposition Schedule has been created and approved by the NAP.

Disposal of Valueless Records According to DECS Order No. 13-A, Article III, Rule 4. Request for Authorization: 4.1 No agency shall destroy or sell any record without having first secured authority from the Director of the Records Management and Archives Office (RMAO) [now known as the National Archives of the Philippines]. 4.2 Each agency shall submit to the Records Management and Archives Office four (4) copies of accomplished Request for Authority to Dispose of Records (Form 3). According to four barangays Brgys. Teachers Village West, Kalusugan, Obrero and Socorro, outdated records can already be disposed. However, none of the barangays have ever disposed of any records during their terms. These barangays also said that they do not submit request forms to the NAP. If ever they would have to dispose records, representatives from the Commission on Audit (COA), General Service Office (GSO), the head of the concerned unit and the Barangay Secretary would appraise, examine, and recommend the method of disposal before the disposal of these records is made. The

55

witnesses involved in the disposal of records are the Barangay Officers, Barangay Captains/Heads, Records Officers and COA representatives. These representatives may be authoritative, but the ED of the NAP is not active in the process of disposal of records. According to DECS Order No. 13-A, Article III, Rule 8: How Disposals Are To Be Accomplished: 8.1 The Records Management and Archives Office [now known as the National Archives of the Philippines or NAP] together with representative of DECS and the COA may re-appraise and re-examine records for disposal as the need arises. 8.2 To safeguard sanctity of the records and to check that the records to be disposed are the same records which were appraised and examined and that no insertions have been done, the actual disposal of records shall be witnessed by representatives of the agency concerned, the RMAO [now known as the NAP] and COA. If records are not properly assessed prior to their disposal, it could lead to the barangays unconscious disposal of important records. This could also lead to serious administrative and legal problems. There are procedures to be followed in disposing records. Authorization from the ED of the NAP, should be initially secured before disposing the records. One of these processes is conducting a public bidding for the disposal of valueless records. According to DECS Order No. 13-A, Article III, Rule 9. Authority to Conduct Public Bidding: 9.1 Each agency shall conduct public bidding for the disposal of valueless records once a year following the pertinent provisions of public bidding and awarding of contracts of P.D. 1445. Preferably, the public bidding should be conducted towards the end of the calendar year so that the effectivity of the contract of the winning bidder shall be in January of the following year. 9.2 The Records Management and Archives Office [now known as the NAP] shall be furnished with a copy of the contract. None of the four barangays conduct public biddings for the disposal of their records. They also do not accomplish a certificate of disposal. It only implies that the

56

barangays do not comply with DECS Order No. 13-A, Article III, Rule 10. Certificate of Disposal, which states that: 10.1 A certificate of Disposal (Form 6) shall be prepared in triplicate by the agency concerned and witnessed by the representatives of the Commission on Audit, Records Management and Archives Office [now known as the NAP] and the owning agency upon the delivery of the disposable records to the paper mills or warehouse of the winning bidder. 10.2 The Certificate shall indicate the nature of the records, the manner, place and date of disposal and their approximate volume in cubic meters and weight. 10.3 The original copy goes with the agency concerned, a copy for the Records Management and Archives Office and a copy for the Commission on Audit. 10.4 Each agency shall submit a report on the disposal of valueless records to the Records Management and Archives Office. Biddings for the disposal of valueless records involve money. Therefore, another aspect of disposal is the proceeds of sales. According to DECS Order No. 13-A, Article III, Rule 11.1, All proceeds realized from the sale of disposals valueless records shall be remitted either to the National Fund, to the Local Government Fund, or to the Corporate Fund (p.10). Since no disposals were made, this law was not observed. These data indicate the lack of knowledge of most barangay officials to the importance of coordinating with the ED of the National Archives of the Philippines. The rule stated above is mandated to ensure the safety of public records. All records should be properly assessed by authoritative personnel from agencies like the NAP before their disposal. However, when barangays fail to comply with the laws stated above, the security of records is at risk of being untimely disposed.

Barangay Officials and Staff

57

Each agency should have a Records Office. A Records Office is the focal point of the agency where records are received, released and maintained for future use (DECS Order No. 13-B, p.14). DECS Order No. 13-B, Article III, Rule 2.2 states that: Each agency shall establish a Records Office for its records holdings and shall coordinate with the Records Management and Archives Office [now known as the NAP] in planning the office lay-out of the Records Unit. For the Records Office to function properly, it is necessary that all barangay officials and staff know how to properly handle records and how to manage them based on the laws and standards. This would ensure that the integrity and safety of the barangay records are secured.

Records Officer or an Archivist Although all barangay staff should be well-trained in handling records, it is still important to have a designated Records Officer in their respective offices. The Records Officer should be the one responsible for the archives and records management of his/her agency. According to the IRR of Rep. Act No. 9470, Title IV, Rule 20, Article 31: The said Archives and Records Office/Unit shall be headed by a Records Officer or an Archivist who shall be appointed by the head of the government office subject to the applicable policies and guidelines promulgated by the CSC on appointment/designation of public servants in government service. The following are the other laws related with appointing a Records Officer in every government agency: According to the IRR of Rep. Act No. 9470, Title IV, Rule 21: Article 33. Each government agency shall appoint qualified Records Officers for the purpose of implementing and overseeing a records

58

management program and to serve as liaison with the National Archives of the Philippines. Article 34. In the absence of a qualified Records Officer, a Records Custodian may be designated temporarily by the head of the agency or appointing body (Rep. Act No. 9470 IRR, 2008). According to DECS Order No. 13-B, Article III, Rule 2.3: Each agency shall appoint a qualified records officer who shall coordinate across the department lines on 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. Out of 14 barangays, only 8 of them have Records Officers in their offices. The barangays with Records Officers are: Brgys. Socorro, Kalusugan, Batasan Hills, Katipunan, Culiat, Bahay Toro, Marilag and Teachers Village West. The job titles of the Records Officers in these barangays vary from Records Officer to Records Custodian, Barangay Secretary, Barangay Treasurer, Property Custodian and Filing Clerk. This shows that there are still a lot of barangays who do not comply with the laws stated above. This can lead to improper handling of records since there is no one in-charge of managing the records of these barangays. The data also show that in most barangays, their Brgy. Secretaries and Treasurers are the two main staff in-charge of managing their office records. In Table 2, the responsibilities of the Records Officers in each barangay based on the IRR of Rep. Act No. 9470 and DECS Order No. 13-B are listed. Table 2 The responsibilities of the Records Officers (ROs) in the barangays

59

Bahay Toro

Batasan Hills

Marilag

Socorro

Katipunan

Kalusugan
X X X X X X X X

Culiat

Responsibilities of the Records Officers Assess/appraise public records

Teachers Village West

Classify public records (open access or restricted access) Arrange/organize records Safekeeping of the valueless records Safekeeping of public records Recommend transfer of records to the Records Center or the NAP Request for the disposal of public records and valueless records Coordinate with the Executive Director (ED) of the NAP Coordinate with the Regional Archives Notify all officials and employees of the requirements and penalties as provided for under Rep. Act No. 9470 Attend Records Management Training Programs Conduct an inventory of public records Deposit copies of original deeds of all government-owned properties and two copies of all reports and publications to the NAP
X X X X

X X X X

X X X

X X X X

X X X X

X X X X

X X X X

X X X

X X

Only eight barangays have Records Officers in their respective offices. Almost, if not all, Records Officers classify based on access restrictions, arrange and organize records in their barangays. This shows that most barangay Records Officers practice the basic responsibilities of a records manager. However, only four out of the eight Records Officers assess/appraise public records. This should be the most important responsibility of the Records Officers since this is the first step in organizing and archiving materials. This

Total
4 7 8 6 8 0 4 0 0 4 3 5 0

60

indicates that in most barangays, there is still failure in identifying what materials and records have lasting value, worthy to be kept and preserved permanently. Out of the eight Records Officers, only four of them (Brgys. Culiat, Bahay Toro, Batasan Hills and Katipunan) notify all officials and employees of the requirements and penalties as provided for under Rep. Act No. 9470. This should be first thing Records Officers should relay to their colleagues in their respective barangays. They must make sure that all of the barangay personnel and staff know about archives and records management laws, rules and regulations. This way, their barangays records activities would be more organized and systematic. When it comes to coordinating with the National Archives of the Philippines (NAP), its Executive Director (ED) and the Regional Archives, all of the Records Officers fail to do their job. In the other data provided by the barangays, they all claim that they have never had contact with the NAP or its ED. As shown in Table 2, only three of the barangay Records Officers attend Records Management Training Programs. This shows that barangays Records Officers seldom attend training programs. Due to the lack of trained and qualified records personnel, records may be mishandled without the officers knowing it. Barangays should also conduct an inventory of their public records. Although not stated as a responsibility of the barangay Records Officer, the person in-charge of this should be the Records Officers. According to the IRR of Rep. Act No. 9470, Rule 25, Article 39:

61

All government offices shall regularly conduct an inventory of their public records and shall be mandated to keep the following data in their respective registry: (a) all public records under its custody; (b) all public records transferred to the National Archives of the Philippines; (c) public records disposed of with authority under Sec. 18 and 19 of Rep. Act No. 9470; (d) data of deferred transfer under Sec. 21 of Rep. Act No. 9470; (e) a public access register that contains information on: (1) restrictions on public access to public records imposed under Sec. 31 (g) of Rep. Act No. 9470; (2) prohibitions imposed under Sec. 36 of Rep. Act No. on public access to public archives or protected records under the control of the ED; (3) the grounds for the prohibitions and restrictions stipulated under Sec. 36 and 37 of Rep. Act No. 9470; and (4) the conditions agreed to under Sec. 23 of Rep. Act No. 9470 as to public access for protected records is transferred to the control of the ED. Of the eight barangays with Records Officers, five of them (Brgys. Kalusugan, Katipunan, Culiat, Bahay Toro and Marilag) conduct an inventory of their public records, while three do not. When asked how often they conduct their inventories, their answers vary from once a year, thrice a year, once a month, quarterly, every end of the Barangay Heads term or as the need arises. Their last inventories were conducted on December 2010, September 2010, August 2010, October 2010 and December 2010, respectively. The data in their registry include: all public records under their custody, data of deferred transfer and public access register. The registries should be accessible to the public according to the IRR of the Rep. Act No. 9470, Article 40, which states that: Heads of all government departments, bureaus, agencies and instrumentalities concerned shall endeavor and ensure the full public accessibility of said Registry (p.1469).

62

Only the registries of Brgys. Kalusugan, Katipunan and Marilag are accessible to the public. This indicates that in most barangays, their registries are still not open to the public. Unless the person requests for authorization to access of the barangay records, the public cannot easily access the barangay registries. This may be part of the safety precautions of the barangays. Another responsibility of the barangay is to deposit a copy of the original deeds of government-owned properties and copies of reports and publications to the NAP. According to the IRR of Rep. Act No. 9470: Rule 26, Article 42: All government agencies, offices and institutions shall deposit with the National Archives of the Philippines a copy of original deeds of all government-owned properties. The National Archives of the Philippines shall give a receipt for each deed received into its custody. Rule 74, Article 135: The National Archives of the Philippines is hereby constituted the central depository for the reports, publications, rules and regulations of the government, whether national or local, and all political subdivisions thereof. It shall be the duty of all government agencies and political subdivisions to deposit with the National Archives of the Philippines two (2) copies of all reports and publications. All the barangays with Records Officers do not deposit copies of original deeds of all government-owned properties as well as two copies of all reports and publications from the barangay to the National Archives of the Philippines. None of the barangays has contact with the NAP.

Barangay Secretary

63

In most of the barangays, the Secretaries are usually the ones responsible for managing the records. Barangay Secretaries should know the policies, rules and regulations in archives and records management to ensure the smooth and correct process of their barangay records. They are also the main producers of barangay records aside from the Brgy. Treasurers, so they must know how to handle records properly. Table 3 shows the responsibilities and duties of Barangay Secretaries as stated in the Local Government Code of the Philippines or Rep. Act No. 7160. According to Rep. Act No. 7160, Chapter 5, Section 394 (d), the barangay secretary shall: (1) Keep custody of all records of the sangguniang barangay and the barangay assembly meetings; (2) Prepare and keep the minutes of all meetings of the sangguniang barangay and the barangay assembly; (3) Prepare a list of members of the barangay assembly, and have the same posted in conspicuous places within the barangay; (4) Assist in the preparation of all necessary forms for the conduct of barangay elections, initiatives, referenda or plebiscites, in coordination with the Comelec; (5) Assist the municipal civil registrar in the registration of births, deaths, and marriages; (6) Keep an updated record of all inhabitants of the barangay containing the following items of information: name, address, place and date of birth, sex, civil status, citizenship, occupation, and such other items of information as may be prescribed by law or ordinances; (7) Submit a report on the actual number of barangay residents as often as may be required by the Sangguniang Barangay. Table 3
Responsibilities and duties of Barangay Secretaries on archives and records management
ESCOPA I Teachers Village West Marilag Socorro Bahay Toro Batasan Hills Milagrosa Obrero Culiat Sangandaan Paraiso Pinyahan Katipunan Kalusugan Total

Responsibilities/ Duties regarding archives and records management

64

Keep custody of all records of the sangguniang barangay and the barangay assembly meetings. Prepare and keep the minutes of all meetings of the sangguniang barangay and the barangay assembly. Prepare a list of members of the barangay assembly, and have the same posted in conspicuous places within the barangay. Assist in the preparation of all necessary forms for the conduct of barangay elections, initiatives, referenda or plebiscites, in coordination with the Comelec. Assist the municipal civil registrar in the registration of births, deaths, and marriages. Keep an updated record of all inhabitants of the barangay containing the following items of information: name, address, place and date of birth, sex, civil status, citizenship, occupation, and such other items of information as may be prescribed by law or ordinances. Submit a report on the actual number of barangay residents as often as may be required by the sangguniang barangay.

14

14

12

12

10

11

As shown in Table 3, most of the Brgy. Secretaries are aware of their responsibilities in records management which are stated under Rep. Act No. 7160. However, there is no way of knowing if they are doing the listed duties and responsibilities since the researcher only conducted a survey and did not intend to observe and immerse to the offices of the 14 barangays. The findings also show that barangay officials are more aware of the laws stated in The Local Government Code of the Philippines or Rep. Act No.

65

7160 compared to the National Archives of the Philippines Act of 2007 or Rep. Act No. 9470.

Barangay Treasurer Aside from the Barangay Secretary, the Treasurer also produces and handles significant amount of documents and records in the barangay. Table 4 shows the responsibilities and duties of the Barangay Treasurers related to archives and records management according to the Local Government Code of the Philippines otherwise known as Rep. Act No. 7160. According to Rep. Act No. 7160, Chapter 5, Section 395 (e), the barangay treasurer shall: (2) Collect and issue official receipts for taxes, fees, contributions, monies, materials, and all other resources accruing to the barangay treasury and deposit the same in the account of the barangay as provided under Title Five, Book II of this Code; (3) Disburse funds in accordance with the financial procedures provided in this Code; (4) Submit to the punong barangay a statement covering the actual and estimates of income and expenditures for the preceding and ensuing calendar years, respectively, subject to the provisions of Title Five, Book II of this Code; (5) Render a written accounting report of all barangay funds and property under his custody at the end of each calendar year, and ensure that such report shall be made available to the members of the barangay assembly and other government agencies concerned. Table 4
Responsibilities and duties of Barangay Treasurers on archives and records management

66

Bahay Toro

Marilag

Socorro

Sangandaan

Pinyahan

Katipunan

Obrero

ESCOPA I

Kalusugan

Milagrosa

WestTeachers Village

Batasan Hills

Paraiso

Responsibilities/ Duties regarding archives and records management

Culiat X X X X

Collect and issue official receipts for taxes, fees, contributions, monies, materials, and all other resources accruing to the barangay treasury and deposit the same in the account of the barangay. Disburse funds in accordance with the financial procedures provided in Rep. Act No. 7160. Submit to the punong barangay a statement covering the actual and estimates of income and expenditures for the preceding and ensuing calendar years, respectively, subject to the provisions of Rep. Act No. 7160. Render a written accounting report of all barangay funds and property under his custody at the end of each calendar year, and ensure that such report shall be made available to the members of the barangay assembly and other government agencies concerned.

14

14

14

13

Table 4 shows the self-assessment of the Brgy. Treasurers. The Brgy. Treasurers may be aware of the listed responsibilities and duties in Table 4, but it is possible that they do not practice all of these.

Barangay Head

Total

67

Being the head of the barangay, the Barangay Head/Captain also has a great responsibility in making sure that their archives and records management process is running smoothly and systematically. If the Barangay Head is not aware of the laws related to archives and records management, it is difficult for its staff, especially its Records Officer to implement the necessary orders from Rep. Act No. 7160, Rep. Act No. 9470, DECS Order No. 13-A and 13-B. The head of the agency should be the one responsible in overseeing the activities of the whole agency. Table 5 shows the responsibilities and duties of Barangay Heads in archives and records management according to the IRR of Rep. Act No. 9470.

Table 5
Responsibilities and duties of Barangay Heads on archives and records management

68

Socorro

Bahay Toro

ESCOPA I

Batasan Hills

Marilag

Sangandaan

Paraiso

Pinyahan

Katipunan

Obrero

Teachers Village West

Kalusugan

Milagrosa

Responsibilities/ Duties regarding archives and records management

Grant access to all of your records for audit purposes. Classify the records as either Open Access Records or Restricted Access Records before transferring to the custody of the ED Classify local government archives as either an Open Access Records or Restricted Access Records

X X

X X

X X

X X X

X X

X X

X X

X X

Culiat 9 0

11

Out of the 14 barangays, only 11 Barangay Heads grant access to all of their records for audit purposes. Barangays Obrero, ESCOPA I and Batasan Hills do not comply with the law written in IRR of Rep. Act No. 9470, Rule 52, Article 87, which states that: All heads of each government office, whether national or local, shall have the duty to grant access to all of its records for audit purposes. Records found not included in their agency's RDS shall be entered in the prescribed form for approval of the National Archives of the Philippines. Being the head of the agency, it is the responsibility of the Barangay Head to classify the records as Open or Restricted Access Records. According to the IRR of Rep. Act No. 9470, Title VII, Rule 53, Article 89: When public records have been in existence for thirty (30) years or more are about to be transferred to the custody and control of the ED under Sec. 20 of Rep. Act No. 9470, the head of the controlling government office shall, in accordance with this Rule and the succeeding Rule, classify the records as either: (a) Open Access Records; or (b) Restricted Access Records.

Total

69

The barangays do not have records that are more than 30 years old. So it can be said that the Barangay Heads do not exercise this duty. However, Table 5 shows that there are nine barangays who are aware of the law stated above. When local government records become local government archives, the Brgy. Head has the responsibility to classify these. According to the IRR of Rep. Act No. 9470, Rule 55, Article 99: When a local government record becomes a local government archive, the head of the local government shall classify it as either: (a) an Open Access Records; or (b) a Restricted Access Records. Out of the 14 barangays, only 9 have mini-archives units. None of them classify their archives as Open Access or Restricted Access Records. All their records in the archives office, regardless of their type, are in one room. Since barangays are under a larger geographic and political jurisdiction, which is Quezon City, one may assume that the City Government of Quezon City, more specifically, the Quezon City Archives, has control and responsibilities on the archives and recordkeeping activities of the smaller units such as the barangays. The researcher conducted a short interview with Mr. Glen Berdin, archivist of the Quezon City Archives, to verify the responsibilities or what the Quezon City Archives can do for the records of the different barangays in Quezon City. According to Mr. Glen Berdin, their recordkeeping is okay but is still not enough. They have compact shelves inside their office. However, they do not have a dehumidifier which aids to control temperature in the room and thus help maintain and preserve their records. He also said that some of their personnel lack training in proper recordkeeping. At present, they have a database containing a list of their records

70

and files. Their office has a proposal to link other local government units to the database they use in their office. They proposed their idea to the councilors but have failed to execute their plan. Some of the reasons include low budget and the lack of willingness and cooperation of other LGUs. Their office does not have a specific responsibility to the barangays records management system. However, their office is open to the barangay units. Requests from barangays are entertained and they provide the records that the other LGUs need. He said that there are proposals on how to improve recordkeeping practices, but they do not have enough budget to pursue these plans. In light of the cited data, it can be concluded that almost all the barangays involved in this study, do not comply with the requirements stated in the IRR of Rep. Act No. 9470, Rep. Act No. 7160, and DECS Order No. 13-A and 13-B. The Records Officers of the barangays who claimed that they comply with the laws failed to show proof or tangible evidences that will strengthen their claim. All of these barangays never had contact with the Executive Director of the National Archives of the Philippines, who is supposed to be the head in enforcing and disseminating information regarding these laws and guidelines to the local government units, such as barangays. The head of the Quezon City Archives said that they do not have a specific responsibility to the archives and records management system of the barangays. There have been proposals done before for the improvement of the records management systems, however, these plans were and would not be successfully implemented if there would still be no budget, cooperation and support from the LGUs.

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CHAPTER V SUMMARY, CONCLUSION AND RECOMMENDATIONS

Summary Restatement of the Problem

72

The main objective of this research study was to find out the extent of compliance and non-compliance of current policies and practices of 15 barangays with the relevant laws, rules and regulations on archives and records management. The points of reference and guide used to achieve the objective are Rep. Act No. 9470, IRR of Rep. Act No. 9470, Rep. Act No. 7160, DECS Order No. 13-A and 13-B. The study aimed to answer the following questions: 1. What are the barangays provisions for archives and records management? a. How many barangays have a separate Archives and Records Office/Unit? b. Do the barangays have existing archival systems in their offices? c. What are the barangays policies and programs on archives and records management? d. What are the barangays practices on archives and records management? d.1. What are the policies and practices of the barangays regarding the disposal of: d.1.a. their protected records d.1.b. their valueless records d.1.c. their public records e. How do the barangays store and maintain their records?
2. What are the current archives and records management practices that are being

done by the Staff in the barangays? a. How many barangays have Records Officers (RO) in their offices?

73

a.1. What are the responsibilities and duties of the RO regarding archives and records management? a.2. What are the practices of the RO in handling barangay records? b. Barangay Secretaries: b.1. What are the responsibilities and duties of the Barangay Secretaries regarding archives and records management? c. Barangay Treasurers: c.1. What are the responsibilities and duties of the Barangay Treasurers regarding archives and records management? d. Barangay Heads: d.1. What are the responsibilities and duties of the Barangay Heads regarding archives and records management? 3. What are the recommendations that could be suggested to further improve the archives and records management practices of the barangays?

Description of Methodology Laws and other related regulations on archives and records management were first identified before a survey questionnaire was structured. The focus of the study were the barangay provisions for archives and records management and the archives and records

74

management staff. However, due to unforeseen circumstances only 14 barangays were able to accomplish the questionnaires. Follow-up interviews were made as the questionnaires were collected. The results were then analyzed and interpreted.

Principal Findings of the Study Following is the summary of the results:

1. None of the barangays has an existing archival system in their offices.

Barangays Sangandaan, Bahay Toro, Katipunan, Paraiso, Culiat and Kalusugan claimed they have existing archival system in their offices. However, they fail to show evidences such as written policies and programs to support their claims.
2. None of the barangays has a Records Disposition Schedule, Records

Management Operations Manual, Retention Code, Records Management Program, Records Management Improvement Committee and Production Control Program.
3. Most of the barangays policies on archives and records management are not

formally written.
4. All 14 barangays consider local government records as protected records. 5. Thirteen barangays have Open Access Records available for inspection by the

public, given that there is authorization already given to those who wish to see or inspect the records. Only Brgy. Teachers Village West does not allow the public to view any barangay record.

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6. Three barangays, Brgys. Socorro, Sangandaan and Bahay Toro have

centralized receiving and releasing units for all communications of records and transactions. They have windows or tables for receiving and releasing records. Barangays Pinyahan, Katipunan, Paraiso, Culiat and Milagrosa have reception areas where people who have inquiries are entertained. Barangays Teachers Vilage West, Obrero, Batasan Hills, Kalusugan, Marilag and ESCOPA I do not have centralized receiving and releasing units neither do they have reception areas.
7. The barangays have filing cabinets with locks where they keep their records.

They have vaults for confidential records and also lock the doors of their offices.
8. In eight barangays, Brgys. Culiat, Pinyahan, Bahay Toro, Katipunan, Marilag,

Sangandaan, Paraiso and Milagrosa, each section keeps records related to their functions and activities. Each of six barangays, Brgys. Teachers Village West, Obrero, Batasan Hills, Kalusugan, Socorro and ESCOPA I has an assigned area for their records.
9. Out of 14 barangays, 9 have records storage/mini-archives of non-current

records.
10. All 14 barangays claim that they do not dispose public and protected records. 11. Out of 14 barangays, only 8 of them have Records Officers in their offices. The

barangays with Records Officers are: Brgys. Socorro, Kalusugan, Batasan Hills, Katipunan, Culiat, Bahay Toro, Marilag and Teachers Village West. The

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job titles of the Records Officers in these barangays vary from Records Officer, Records Custodian, Barangay Secretary, Barangay Treasurer, Property Custodian and Filing Clerk.
12. Most of the Brgy. Secretaries, Brgy. Treasurers and Brgy. Heads are aware of

their responsibilities in records management according to Rep. Act No. 7160. However, there is no way of knowing if they are actually doing these duties and responsibilities, since the researcher only did a survey.
13. Barangay officials are more aware of the laws stated in The Local Government

Code of the Philippines or Rep. Act No. 7160 compared to the National Archives of the Philippines Act of 2007 or Rep. Act No. 9470.

Conclusion This study was conducted to find out the extent of compliance and non-compliance of 15 selected barangays in Quezon City to the relevant laws, rules and regulations on archives and records management. A questionnaire and follow-up interviews based on Rep. Act No. 9470, Rep. Act No. 7160, DECS Order No. 13-A and 13-B have been used to gather data. In the data gathered by the researcher, not one among the 14 barangays has complied with all the requirements prescribed by the stated laws, rules and regulations. Most of the barangay officers are aware of Rep. Act No. 7160 which is the Local Government Code of 1991. However, these officers are not knowledgeable on Rep. Act No. 9470 or the National Archives of the Philippines Act of 2007 and DECS Order No. 13A, which state the Guidelines on the Decentralized Disposal of Valueless Records in

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Government Agencies and DECS Order No. 13-B, which states the Rules and Regulations Governing the Coordination of Records Management and Archives Function. These are the laws, rules and regulations related to archives and records management in the barangay level. All the barangays are mandated to know and practice these but unfortunately they do not. It is also shown in the data gathered by the researcher that none of the barangays has any contact with the Executive Director of the National Archives of the Philippines. Under this prevailing situation, it can be concluded that there is a great and urgent need for the barangays in Quezon City to upgrade and standardize their archive and records management systems in accordance with the Republic Acts and DECS Orders to better serve their constituencies. There is also a need to coordinate with the proper government offices like the NAP to ensure that their archives and records management systems are in accordance to the relevant laws and regulations.

Recommendations To upgrade and standardize the archives and records management system of the Q.C. barangays, the following recommendations are hereby made:
1. The Barangay Heads should be required to attend meetings informing them of the

need and importance of establishing formal records offices or units in their barangays for the efficient management and control of all the records generated in their offices. They should be made to realize the usefulness of their records to their constituencies in their communities. They should be required to strictly observe their responsibilities and duties regarding archives and records management. They

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should also know how to prepare and request for their barangay budget to be able to accommodate necessary funding for the establishment of a proper Archives and Records Office/Unit and the salaries of their archives and records management staff. 2. The Executive Director of the NAP should have a definite supervising schedule for visiting and inspecting barangay Archives and Records Units to influence the Records Officers to do their responsibilities and duties as specified in the Republic Acts and DECS Orders.
3. The NAP, together with the local government units of Quezon City (i.e. Quezon

City and barangays) should prepare and implement programs for seminars and training sessions on archives and records management for Records Officers and Records Custodians of barangays.
4. The NAP authority may institute programs to inspire the barangay Records Officers

to do their best in complying with the Republic Acts and DECS Orders by giving awards to the best archives and records management office among different barangays in the city. 5. A Records Management and Archives Committee should be created. This would be the body responsible for the overall management, policy and decision-making activities regarding barangay archives and records.

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REFERENCES

Unpublished Works: Buenrostro, I.S. (2005). Reference Service and Provisions for Access of Selected Archives of Government Institutions in Metro Manila. Unpublished BLIS thesis. University of the Philippines Diliman, School of Library and Information Studies.

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Garcia, J.P. (2009). Establishing Government Municipal Archives Case Studies of Local Government Archives Practices. Unpublished MLIS thesis. University of the Philippines Diliman, School of Library and Information Studies.

Golfo, M.G. (2010). Towards a standard archives and records management system for government corporation and financial institutions in Metro Manila. Unpublished MLIS thesis. University of the Philippines Diliman, School of Library and Information Studies.

Nofuente, E.L. (1981). Records management practices of international organizations in the Philippines : a survey. Unpublished MLS thesis. University of the Philippines Diliman, School of Library and Information Studies.

Rey, E.C. (1997). Survey of training needs on archives administration for records personnel and archivists in the local government units in Region I. Unpublished MLS thesis. University of the Philippines Diliman, School of Library and Information Studies.

Silagpo, M.V.H. (2008). A Study in the Existing Records Management Practices of Sangguniang Panlungsod ng San Jose Del Monte. Unpublished BLIS thesis. University of the Philippines Diliman, School of Library and Information Studies.

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Articles and Book Chapters: Cox, R. J. (c2002) . The archivist and community. In J.A. Bastian & B. Alexander (Eds.) , Community Archives: the shaping of memory (pp. 251-264) . London: Facet.

Yeo, G. (c2002) . Principles and practice in records management and archives. In J.A. Bastian & B. Alexander (Eds.) , Community Archives: the shaping of memory (pp. ix-x) . London: Facet.

Electronic Sources: Bridges, E. C. (1991). State Record Laws and the Preservation of an Archival Record. American Society for Information Science. Bulletin of the American Society for Information Science, 18(1), 15. Retrieved March 20, 2011, from ABI/INFORM Global. (Document ID: 192022).

DECS Order No. 13-A, S. 1988 - Guidelines on the Decentralized Disposal of Valueless Records in Government Agencies. Retrieved December 4, 2011 from the World Wide Web: http://lgrc.dilg10.org/v2/KP/Gov/Records/RAMPAnnexes.pdf

DECS Order No. 13-B, S. 1988 - Rules and Regulations Governing the Coordination of Records Management and Archives Function. Retrieved December 4, 2011 from

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the World Wide Web: http://lgrc.dilg10.org/v2/KP/Gov/Records/RAMPAnnexes.pdf

Raths, D. (2010). Many federal agencies struggle with records management. KM World, 19(8), 6,30. Retrieved March 20, 2011, from ABI/INFORM Global. (Document ID: 2136861801).

Republic Act No. 7160. (1991) An act providing for a local government code of 1991. Retrieved December 1, 2010 from The LAWPHiL Project: http://www.lawphil.net/statutes/repacts/ra1991/ra_7160_1991.html

Republic Act No. 9470. (2007) An act to strengthen the system of management and administration of archival records, establishing for the purpose the National Archives of the Philippines, and for other purposes. Retrieved December 1, 2010 from the World Wide Web: http://www.senate.gov.ph/republic_acts/ra %209470.pdf

Republic Act No. 9470 Implementing Rules and Regulations (2008), O.G. vol. 104 (no.9), p.1458-1482. Retrieved July 19, 2011 from Global Legal Information Network: http://www.glin.gov/view.action?glinID=225283

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Society of American Archivists. (2005). A glossary of archival and records terminology. Retrieved December 6, 2010 from the World Wide Web: http://www.archivists.org/glossary/term_details.asp?DefinitionKey=200

Society of American Archivists. (2005). A glossary of archival and records terminology. Retrieved December 6, 2010 from the World Wide Web: http://www.archivists.org/glossary/term_details.asp?DefinitionKey=525

Swartz, N. (2008). New records standards for New Zealand. Information Management Journal, 42(6), 16. Retrieved March 20, 2011, from ABI/INFORM Global. (Document ID: 1601672671).

Appendix A (Cover Letter) _____________________ _____________________ _____________________ Good day!

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I am an undergraduate student from the School of Library and Information Studies in UP Diliman. I am conducting a research, entitled: A Study of the Compliance of Selected Barangays in Quezon City to Relevant Laws, Rules and Regulations on Archives and Records Management, for our course LIS 200 (Undergraduate Thesis). This research aims to determine the compliance and non-compliance of Barangays in Archives and Records Management-related laws and guidelines. I respectfully ask for your cooperation by letting me conduct my research in your Barangay. I will distribute the questionnaire to the officer-in-charge of your Archives and Records Office. All information gathered will be confidential and will be used for academic purposes only. I greatly appreciate your help. Thank you very much. Respectfully yours, Vivian Sarah C. Juanson Noted by: __________________________ Prof. Iyra Buenrostro Adviser ___________________________ Prof. Johann Frederick A. Cabbab Dean, UP SLIS

Appendix B Survey Questionnaire Name:______________________ Position/ Job Title:___________ Name of the Barangay:____________________ Contact no.:_____________________________

Instructions: Please answer the questionnaire as honestly as possible. Check your answers

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in the yes/no questions. All the information that you will give to us will be used only for educational purposes. Your personal information will remain confidential and will be treated with utmost confidentiality. 1. Do you have a separate Archives and Records Office/Unit in your Barangay? >>Records Office/Unit--refers to an organizational unit responsible for planning, developing, prescribing, disseminating and enforcing policies, rules and regulations and coordinating agency-wide records management program (Rep. Act No. 9470 IRR, 2008). Yes No * If yes, who is the officer-in-charge in this office?_________________________ 2. Do you have a Records Center in your barangay? Yes No * If yes, where is it located? Describe it please. ______________________________________________________ ______________________________________________________ 3. Do you have an existing archival system in your Barangay? Yes Yes * If yes, what do you call him/her (job title): Records officer Archivist Records Custodian Others:______________________ 5. Do you conduct an inventory of your public records? >>Public recordsrefers to record or classes of records, in any form, in whole or in part, created or received, whether before or after the effectivity of this Act, by a government agency in the conduct of its affairs, and have been retained by that government No No 4. Do you have a Records Officer (RO) in your Barangay?

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agency or its successors as evidence or because of the information contained therein (Rep. Act No. 9470, 2007). Yes No * If Yes, how often?______________________________________ * When was the last inventory done?________________________ * What data are included in your registry? (check all that applies) All public records under your custody All public records transferred to the National Archives of the Philippines Public records disposed of with authority from the NAP Data of deferred transfer Public access register * Is this registry accessible to the public? Yes No 6. Does your RO coordinate with the Executive Director (ED) of the National Archives of the Philippines (NAP) regarding your Barangays Archives and Records Management policies and practices? Yes Yes Yes No No No 7. Do you deposit copy of original deeds of all government-owned properties to the NAP? 8. Was your records office ever inspected by the Executive Director of the NAP?

* If yes, when was it last inspected (year of inspection will do)?___________ 9. Do you have a Records Disposition Schedule (RDS)? Yes * If yes, was it approved by the ED of the NAP? No 10. Do you dispose public records under your custody? Yes No

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Yes Yes

No No

* If yes, was it first approved by the ED of the NAP before the disposal? * Did the Barangay Head give the Executive Director at least thirty (30) days notice prior to the intention to transfer control, intention to dispose and the place where additional information may be obtained on the public records? Yes 11. Do you transfer public records to the NAP? Yes No Archival materials/collections of government office which are more than 30 yrs. old Non-current public records with permanent and enduring archival value Non-current public records that has thirty (30) years or more retention periods Inactive personnel records (201 files) with archival value Others:________________________________________________ 12. Does your Records Officer (or anyone responsible in records management in your barangay) notify the NAP of any actual, impending or threatened unlawful removal, defacing, alteration or destruction of records? Yes No * If yes, what records? (Please check all the possible answers) No * How often do you dispose records?__________________

13. Do you consider local government records as protected records? >>Local government recordsrefers to records in any form, in whole or in part, created or received, whether before or after the effectivity of this Act, by an LGU in the

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conduct of its affairs (Rep. Act No. 9470, 2007). Yes 14. Do you dispose protected records? >>Protected recordsrefers to local government records containing data that are important from economic, social, political, legal, national security, scientific, cultural, technological or other aspects, which are indispensable for the research of historical past, for becoming acquainted with and understanding it, and/or for the continuous fulfillment of public duties and the realization of citizens' rights, which are not or only partially available from other sources (Rep. Act No. 9470, 2007). Yes * If yes, a. Did you notify in writing the ED of your intention to dispose the protected records? Yes Yes Yes Yes No No No No b. Did you identify the protected record concerned? c. Did you specify how you intend to dispose of the protected records? 15. Does the head of your barangay grant access to all of your records for audit purposes? 16. Does the head of your barangay classify the records as either Open Access Records or Restricted Access Records before transferring to the custody of the ED? Yes No No No

17. When a local government record becomes a local government archive, does the head of the local government classify it as either an Open Access Records or a Restricted Access Records? >>Local government recordsrefers to records in any form, in whole or in part,

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created or received, whether before or after the effectivity of this Act, by an LGU in the conduct of its affairs (Rep. Act No. 9470, 2007). >>Local government archivesrefers to local government records that have been collected by the controlling local government unit that served as historical evidences in the performance of its duties (Rep. Act No. 9470, 2007). Yes inspect the record is made to the barangay? Yes No 19. Do you consider a person who, willfully or negligently, damages a public record or disposes of or destroys a public record as someone who has committed an offense? Yes check all that applies) Assess/appraise public records Classify public records (open access or restricted access) Arrange/organize records Safekeeping of the valueless records Safekeeping of public records Recommend transfer of records to the Records Center or the NAP Request for the disposal of public records and valueless records Coordinate with the Executive Director (ED) of the NAP Coordinate with the Regional Archives Notify all officials and employees of the requirements and penalties as provided for under Rep. Act No. 9470 Attend Records Management Training Programs Please provide a list of the training programs attended (name of the event, name of the organization who handled the program, place, No 20. What are the responsibilities of the Records Officer (RO) in your Barangay? (Please No 18. Are the Open Access Records available for inspection by the public after a request to

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date): _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ Others:_____________________________________________________ 21. Do you deposit with the NAP two (2) copies of all reports and publications from your barangay? Yes the list: Keep custody of all records of the sangguniang barangay and the barangay assembly meetings. Prepare and keep the minutes of all meetings of the sangguniang barangay and the barangay assembly. Prepare a list of members of the barangay assembly, and have the same posted in conspicuous places within the barangay. Assist in the preparation of all necessary forms for the conduct of barangay elections, initiatives, referenda or plebiscites, in coordination with the Comelec. Assist the municipal civil registrar in the registration of births, deaths, and marriages. Keep an updated record of all inhabitants of the barangay containing the following items of information: name, address, place and date of birth, sex, civil status, citizenship, occupation, and such other items of information as may be prescribed by law or ordinances. Submit a report on the actual number of barangay residents as often as may be required by the sangguniang barangay. No 22. Please check the applicable responsibilities/duties/roles of your Barangay Secretary on

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23. Please check the applicable responsibilities/duties/roles of your Barangay Treasurer on the list: Collect and issue official receipts for taxes, fees, contributions, monies, materials, and all other resources accruing to the barangay treasury and deposit the same in the account of the barangay. Disburse funds in accordance with the financial procedures provided in Rep. Act No. 7160. Submit to the punong barangay a statement covering the actual and estimates of income and expenditures for the preceding and ensuing calendar years, respectively, subject to the provisions of Rep. Act No. 7160. Render a written accounting report of all barangay funds and property under his custody at the end of each calendar year, and ensure that such report shall be made available to the members of the barangay assembly and other government agencies concerned. 24. Do you dispose valueless records under your custody? >>Valueless recordsInclude all record materials that reached their prescribed retention periods and usefulness to the agency or the government ads a whole (DECS Order No. 13-A, 1988). Yes No

* If yes, who appraises, examines and recommends the method of disposal of the records of the barangay? Please state his name and position (job title) * If yes, how? Burning Selling Yes check all the possible answers) Shredding Others:____________________ No

* Do you submit reports on the disposal of valueless records to the NAP? 25. When disposing records, who serves as witnesses to the disposal process? (Please

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Brgy. Officers Brgy. Captain Records Officer Archivist Representative/s of the NAP Commission on Audit (COA) representative/s Others:______________________________ 26. Do you conduct public biddings for the disposal of valueless records? Yes No * If yes, how often?_________________________ * Do you give a copy of the contract to the NAP? Yes paper mills, warehouse of the winning bidder? Yes answers) Nature of records Manner of disposal Place of disposal Date of disposal Approximate volume (in cubic meters) Weight 28. Do you submit a report on the disposal of valueless records to the NAP? Yes National Funds Local Government Fund/ Barangays Funds Others:_____________________________ No 29. Where do you remit the sale of disposals of valueless records? No * If yes, what do you include in the certificate? (Please check all the possible No 27. Do you provide a certificate of disposal upon the delivery of the disposable records to

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30. Do you have File Breaks (the termination of filing activity for a particular file at a pre-determined time, or after the lapse of a specific event and beginning of a new file period, DECS Order No. 13-A, 1988). Yes No * If yes, when?_________________________ 31. Do you have a Records Management Program? Yes No * If yes, please provide a copy. 32. Do you have a Records Management Improvement Committee? Yes No * If yes, please provide a list of the members of the committee 33. Do you have a set of standards and criteria for the maximum utilization of filing equipment and floor space for maintaining and servicing files? Yes Yes No No 34. Do you have a Records Management Operations Manual? * If yes, please provide a copy 35. Do you have a Production Control Program? Yes No * If yes, please provide a copy. 36. Do you have a centralized receiving and releasing unit of all communications of your records and transactions? Yes No

37. Do you have a File Classification Guide/Scheme? Yes No * If yes, please provide a copy. 38. Do you have a Retention Code (a numeric symbol by which a file material may be retained or disposed of, DECS Order No. 13-B, 1988) for each record before you file it?

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Yes containers? Yes Yes

Sources:

No

39. Do you separate confidential records from the general files and keep it in secured file No No

40. Do you have records storage/ mini archives of non-current records? __________________________ _Thank You__________________________________
DECS Order No. 13-A, S. 1988 - Guidelines on the Decentralized Disposal of Valueless Records in Government Agencies. Retrieved December 4, 2011 from the World Wide Web: http://lgrc.dilg10.org/v2/KP/Gov/Records/RAMPAnnexes.pdf DECS Order No. 13-B, S. 1988 - Rules and Regulations Governing the Coordination of Records Management and Archives Function. Retrieved December 4, 2011 from the World Wide Web: http://lgrc.dilg10.org/v2/KP/Gov/Records/RAMPAnnexes.pdf Republic Act No. 7160. (1991) An act providing for a local government code of 1991. Retrieved December 1, 2010 from The LAWPHiL Project: http://www.lawphil.net/statutes/repacts/ra1991/ra_7160_1991.html Republic Act No. 9470. (2007) An act to strengthen the system of management and administration of archival records, establishing for the purpose the National Archives of the Philippines, and for other purposes. Retrieved December 1, 2010 from the World Wide Web: http://www.senate.gov.ph/republic_acts/ra%209470. pdf Republic Act No. 9470 Implementing Rules and Regulations (2008), O.G. vol. 104 (no.9), p.1458-1482. Retrieved July 19, 2011 from Global Legal Information Network: http://www.glin.gov/view.action? glinID=225283