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Document Workflow (Agencies to NAP)
Transcript of Document Workflow (Agencies to NAP)
National Archives of the Philippines (NAP) is a government institution that is primarily responsible for the planning, development, prescription, dissemination and enforcement of policies, rules and regulation and the coordination of government-wide programs governing the creation, general protection, use, storage and disposition of public records including the acquisition, storage and preservation of public archives and providing facilities for reference, research or other purposes. One of the main functions of NAP is to plan, formulate and implement a records management and archival administration program for the efficient creation, utilization, maintenance, retention, preservation, conservation and disposal of public records including the adoption of security measures and vital records protection program for the government (Sec. 6(c), RA 9470) All government offices, including GOCCs shall prepare and submit a records disposition schedule in the prescribed form, which upon approval by the executive director shall govern the disposal of public records common to all government offices (Art. III, Sec. 16, RA 9470) Record series refers to a group of related records arranged under a single unit or kept together as a unit because they deal with a particular subject, result from the same activity or have a special form General Records Disposition Schedule or (GRDS)
refers to a records control schedule governing the disposition of specified recurring records series COMMON TO ALL government agencies issued by National Archives of the Philippines (Art. II, NAP Gen. Circular No. 2)
As of March 23, 2009, there are 172 records series title and description in the GRDS issued by the National Archives of the Philippines Agencies might have 'substantive records', that is records that are unique to the government agency
(e.g. TIN number is unique to the Bureau of Internal Revenue) Research and Statistics The NAP shall be responsible to plan, formulate and implement records management and archival administration program for the efficient creation, utilization, maintenance, retention, preservation, conservation and disposal of public records including the adoption of security measures and vital records protection program for the government (Art. II, Sec. 6(c)(4)) Records Disposition (Rule 7, Art. III, NAP Gen. Circular No.1) Inventory and Appraisal of Records
Each agency shall prepare an inventory and appraisal of its records holding in the prescribed form as an initial step in developing the RDS and for whatever purpose the agency may deem necessary (Rule 7.1, NGC No. 1) NAP Form No. 1: Records Inventory and Appraisal Procedure in Accomplishing NAP Form No. 1
1. NAP Form No. 1 should be accomplished by the records officer, records custodian or the person in-charge of the records.
2. NAP shall assign a Records Management Analyst to assist the agency with Inventory and Scheduling
3. The agency may accomplish NAP Form No. 1, provided, that they will submit a letter of endorsement to the RMSD of NAP. NAP Form No. 2: Records Disposition Schedule NAP Form No. 2: Records Disposition Schedule Agency Records Disposition Schedule
refers to a listing of records series by organization showing, for each records series the period of time it is to remain in the office area, in the storage (inactive) area and its preservation or destruction
Note: ARDS and RDS are just the SAME NAP Form No. 2: Records Disposition Schedule Summary of NAP Form No. 2
1. Agency fills-up the agency name, address, schedule number, date of preparation, item number, record series title and description, retention period and their remarks to the documents.
2. It will be signed by the person who prepared the RDS (records officer or records custodian) and the head of the records division of the agency
3. It will be signed by the NAP officers who assisted in the creation of the RDS
4. It will be recommended, noted and approved by the concerned officers of the agency before it send to the NAP Summary of NAP Form No. 2
5. The RMEC (Records Management Evaluation Committed shall determine if the RDS needs to be returned for improvement or correction or if it shall be recommended for approval by the Executive Director)
6. If the RDS is signed by the OIC of the RMEC it will be sent to the Executive Director for approval Disposal Procedure
Once Inventory (NAP Form No. 1) and Scheduling (NAP Form No. 2) is done, the agency can now obtain the authority to dispose of records (NAP Form No. 3)
The agency personnel concerned shall determine the valueless records by checking their specific and authorized retention periods using the agency's RDS, GRDS and/or specific laws and regulations as the legal basis (NAP Gen. Circular Rule 4.1)
The agency concerned shall estimate the volume of the valueless records to determine and facilitate economical disposal (NAP Gen. Circular 4.2) NAP Form No. 3: Request for Authority to Dispose Note:
Aside from accomplishing NAP Form No. 3, the agency should ensure that:
1. financial records that are subject of audit by the Commission of Audit (COA) were post-audited and finally settled and;
2. the records involved in a case or investigation were finally decided upon or settled. - After accomplishment of NAP Form No. 3, it will be submitted to the Chief of the RMSD of NAP for evaluation (Rule 6.1.)
- The RMSD Chief will then assign a staff from his division to evaluate the valueless records requested for disposal.
- The staff will then prepare and submit an Analysis Report based on his/her evaluation and/or examination (Rule 6.2) NAP Form No. 4: Records Management Analysis Report NAP Form No. 4: Records Management Analysis Report NAP Form No. 5: Authority to Dispose of Records Upon recommendation of the Chief of RMSD, the Executive Director, based on her final evaluation and judgment shall issue the Authority to Dispose of Records indicating therein the mode of Disposal (Rule 7.1).
Disposal could be in the form of:
3. Any other ways
(Art. II, Rule 2)
The requesting agency shall be notified on its approval and date of actual disposal.
It should also notify its Resident Auditor on the date of actual disposal. Who should witness the disposal of the records?
1. Representative from the requesting Agency
2. Representative from NAP
3. Representative from COA In case the mode of disposal is by Sale, the guidelines on Government Procurement shall be followed in the selection of contracted buyer.
A copy of the contract shall be submitted to NAP prior to the actual disposal. For agencies that opted to avail the services of NAP official buyer, a letter of availment shall be submitted to NAP. NAP Form No. 6: Certificate of Disposal of Records The Records officer/ archivist/ records custodian of the agency shall supervise the segregation of valueless records and be responsible for their safekeeping until their actual disposal. NAP form no. 6: Certificate of Disposal of Records
A certificate of disposal (NAP Form no. 6) shall be prepared in three (3) copies by the NAP Authorized representative who will witness the actual disposal of records and ensure that all pertinent data are complete (Rule 11.1)
In cases where the witnessing by NAP authorized representative is dispensed with, Records Officer/ Archivist/ Records Custodian of the agency shall prepare the said Certificate of Disposal in three (3) copies Distribution of copies of certificate of disposal
Original copy - requesting agency
2nd copy - NAP
3rd copy - COA Summary of Process: Document Workflow Inventory and Scheduling Agency accomplishes Form No. 1 (Records Inventory and Appraisal)
- to be signed by the records officer, the Chief of the Division/Department, and the NAP Records Management Analyst that assisted them (if any) if not assisted by NAP Records Management Analyst, the agency should attach a letter of recommendation The agency shall accomplish NAP Form no. 2 (Records Disposition Schedule) which will cover records that is not provided by NAP in the GRDS to serve as guide in the disposition of records, subject to the approval of the NAP to be signed by: Records officer and head of department NAP personnel who assisted in the creation of the RDS agency official who recommended approval and noted the RDS head of the agency for approval OIC of the RMSD shall evaluate the RDS if approved, it will be signed by the Executive Director If returned for improvement or correction, the RMIC (Records Management Improvement Committee) and the RMEC (Records Management Evaluation Committee of NAP) shall sit to determine what should be improved or corrected in the agency's Records Disposition Schedule Disposal The requesting agency shall observe the general requirements on disposal of valueless records as provided in Rule 3 of Art. II of NAP Gen. Circular No. 2 General Requirements on Disposal of Valueless Records 1. Use the GRDS, ARDS and/or specific laws and regulations in determining public records for disposal.
2. Ensure that only records with a Disposal Schedule are destroyed after the completion of its period of storage.
3.Ensure that records to be disposed have a number and subject/title as in the ARDS and GRDS
4. Conduct periodic examination of agency files at least once a year to identify valueless records that can be requested for disposal 5. Separate the records for disposal from those further retention as suggested by the NAP
6. Do not dispose any public records under their administration and control without authority from the NAP
7. Do not dispose public records that are involved in any case until they are finally decided upon or settled
8. Do not dispose financial records that are subject of audit by the COA until they are post-audited and finally settled agency personnel concerned shall check the retention periods of the records and shall estimate its volume for economical disposal Agency personnel accomplishes 3 copies of NAP Form No. 3 (Request for Authority to Dispose) to be signed by: records officer or custodian head of department handling the records the agency concerned shall pass the accomplished NAP Form No. 3 to the Records Management Section Division of NAP The Chief of the RMSD shall assign a staff from his division to evaluate the valueless records requested for disposal and shall submit an analysis report (NAP Form No. 4) based on his/her evaluation and/or examination staff who evaluated the valueless records Chief of the RMSD Upon the recommendation of the Chief of the RMSD, the executive director, based on his/her evaluation and final judgment shall issue the Authority to Dispose of records (NAP Form No. 5) indicating therein the mode of disposal Disposal could be in the form of:
3. other ways in case the mode of disposal is by Sale, the guidelines on Government Procurement shall be followed in the selection of contracted buyer Chief of RMSD shall notify the requesting agency on the actual date of disposal .
Requesting agency will then notify its Resident Auditor on the date of actual disposal Document Workflow Inventory, Scheduling and Disposal Mandate
R.A. 9470: An act to strengthen the system of management and administration of Archival Records, Establishing for the purpose the National Archives of the Philippines and other purposes, otherwise known as the National Archives of the Philippines Act of 2007
This Act originated from the Senate and was authored by Senator Sergio Osmena III
It was approved by President Gloria Macapagal-Arroyo on May 21, 2007 Records Management Services Division
The Records Management Services Division (RMSD) is a division of NAP that is committed on becoming a professionally advanced organization wherein best practices of records management are adhered to and promoted for the protection of records and archives. RMSD
Functions Appraisal and Disposal
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 executive director (Art. III, Sec. 18, RA 9470) Appraisal
refers to the study of records, their relationships and contents, to determine their utility values as to administrative, fiscal, legal, and archival value and time values whether temporary or permanent Utility Values
1. Administrative value - refers to the usefulness of records to the originating or succeeding agency in the conduct of current business
2. Fiscal value - refers to the relative worth of usefulness of records pertaining to financial transactions and obligation of agencies and organization
3. legal value - refers to the value of records containing evidence of legally enforceable rights or obligations of government and/or private person Disposal
refers to the act of selling, landfill/burying, or any other way of discarding valueless records in accordance with the provision of R.A. 9470 When does a record become valueless?
A record becomes valueless when it already reached the prescribed retention periods and outlived the usefulness to the agency or the government as a whole What is a retention period?
Retention period refers to the specific period of time established and approved by the National Archives of the Philippines as the life span of records, after which they are deemed ready for permanent storage or destruction Inventory and Scheduling Inventory
refers to a descriptive listing of the records holding by record series indicating its specific location, inclusive dates and volume in cubic meters; conduct of related activities to locate, identify, describe count, and measure all records in the office and storage area including all loose and bound papers, microfilms, optical disks, and magnetic tapes and disks record series refer to a group of related records arranged under a single unit or kept together as a unit because they deal with a particular subject, result from the same activity or have a special form Records Disposition
refers to the systematic transfer of non-current records from office to storage area, identification and preservation of archival records and the destruction of valueless records. Non-current records refer to files that deal with completed or adjourned business not needed for action or reference in continuing agency transactions but have continuing research or historical value to the government and public What is the basis for the transfer of non-current records, identification and preservation of archival records and the destruction of valueless records?
1. General Records Disposition Schedule
2. Agency Records Disposition Schedule
3. Specific laws and regulations in determining public records for disposal Different Kinds of Records included in the GRDS Procurement and Supply Records
(e.g. Annual Procurements, Bids and Awards Committee Files, Canvass of Prices, Job Orders Purchase orders and requests, etc.)
Administrative and Management Records
(e.g. acknowledgment receipt certificate of appearance, correspondences, delivery receipts, press release proposals, etc.)
Human Resource and Personnel Management Record
(e.g. Applications, DTRs, Interview Records, Logbooks, Membership files, Plantilla of Personnel, etc.) Legal Records
(e.g. Affidavits, Legal opinions, petitions, resolutions, subpoenas, etc.)
(e.g. SARO, annual budgets, budget issuances, GAA, Work and Financial Plans, etc.)
(e.g. schedule of training/ seminar, training handouts, training reports, workshop results)
Financial and Accounting Records
(e.g. annual statements of accounts payable, bills cash flow charts check and check stubs, financial statements, etc) The National Archives of the Philippines shall give technical assistance to all branches of government, whether national or local, constitutional offices, GOCCs, government financial institutions, state universities and colleges, Philippine embassies, consulates and other Philippine offices abroad in the planning, implementation and evaluation of their public records management and archives administration programs (Sec. 6(c)(4), RA 9470) Technical Assistance Disposal Prepared by:
Angelo M. Vanguardia
Information Systems Researcher II