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/ v I ¡Restricted i *&/Technical Report \ , f,***^ Rp/1981-1983/5/10.1
/03 PHILIPPINES Records and Archives Management Programme (RAMP) and related archives infrastructure development
R A M P Pilot Project for the Establishment of a Regional Archives and Records Center (Report N o . 2)
by Artel Ricks
Serial No . FMR/PGI /82 /161
United Nations Educational, Scientific and Cultural Organization
Paris, 1 9 8 2
P H I L I P P I N E S
RAMP PILOT PROJECT FOR THE
ESTABLISHMENT OF A REGIONAL
ARCHIVES AND RECORDS CENTER
( Report No. 2 )
by Artel Ricks
Report prepared for the Government of the Republic of the Philippines by the United Nations Educational, Scientific and Cultural Organization ( Unesco )
U N E S C O
Technical Report RP/1981-1983/5/10. l/OS FMR/PGl/82/l61(Ricks) 1 October 1982
o Unesco 1982 Printed in France
TABLE OF CONTENTS
I. INTRODUCTION
II. STATUS OF THE PROJECT •
III. WORK ACCOMPLISHED
Briefing sessions
Archives and Records Centre facility
Archives and Records Centre operations
Authority and regulation
Scheduling
Training BRM personnel
IV. SUMMARY OF RECOMMENDATIONS
ANNEXES
1 . INVITATION TO ATTEND BRIEFING SESSIONS ISSUED BY THE REPUBLIC OF THE PHILIPPINES BUREAU OF RECORDS MANAGEMENT REGIONAL ARCHIVAL NETWORK
2 . DRAFT CIRCULAR TO BE ADRESSED BY AGENCIES OF THE NATIONAL GOVERNMENT
3. FORM FOR TRANSMITTING RECORDS TO THE REGIONAL ARCHIVES AND RECORDS CENTRE
4. SUGGESTIONS FOR DEVELOPING INSTRUCTIONS NEEDED BY AGENCIES OF REGION VII
5. SUGGESTIONS FOR A DIRECTIVE DEFINING THE RELATIONSHIP OF THE REGIONAL ARCHIVES AND RECORDS CENTRE TO THE BRM DIVISIONS
6. SUGGESTIONS FOR DEVELOPING MODEL RECORDS SCHEDULES TO BE USED BY LOCAL GOVERNMENT AGENCIES
7. APPROVED RECORDS DISPOSITION SCHEDULE DEVELOPED BY THE PROJECT TEAM
8. PROPOSED REVISED RECORDS DISPOSITION SCHEDULE
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I. INTRODUCTION
1. At the request of the Government of the Republic of the Philippines, Unesco arranged under the Organization's regular programme for 1981-1983 for a follow-
up mission to be made to that country from 5 to 26 June 1982. Thé first mission was undertaken in the latter part of 1980 as part of a pilot project in Unesco's Records and Archives Management Programme (RAMP).(l) The terms of reference of the follow-up mission were as follows:
'In close co-operation with the Records Management and Archives Office of the Philippines and its officials both in Manila and in Cebu City, assist this agency in further development of the Pilot Project for a Regional Archives and Records Centre branch. Specifically, he shall:
(a) Review and provide guidance in proposed revision of regulations and procedures, as requested.
(b) Ensure that professionally sound archival and records centre practices are being followed in the Regional Archives and Records Centre.
(c) Review approved schedules and their application, and assist in the development of additional schedules.
(d) Provide basic and advanced training as needed by project and agency staff members in the area of surveying, appraising and scheduling of agency current, semi-current and non-current records.
(e) Assist in organizing and participate as a principal speaker in meetings of officials of government agencies, that are intended to explain to these officials the purposes and functioning of the combined Regional Archives and Records Centre, and to enlist their support of this project.'
II. STATUS OF THE PROJECT
2. Excellent progress has been made in implementing the recommendations of the earlier project report. There is now every indication that the project will
prove a success and will be a valuable model for a network for similar regional archives and records centres throughout the Philippines, as well as for developing countries both in this region and elsewhere.
3. The temporary facility selected in Mandaue City, Cebu, Philippines, will serve the need very well for several years to come, or until a specialized facility
is built which meets the full specifications called for in the project report of the earlier mission. It fully satisfies the expectations for a temporary facility, although not yet fully equipped. Additional shelving is the primary need, with only about one-fifth, the total shelving required thus far installed or on order. This deficiency has foot yet proven a handicap because the quantity of records received has not filled the available shelves.
4. The most serious problem faced is the dearth of records control schedules for most of the records of local governments (provincial, city, town) and nearly
(1) 'RAMP Pilot Project for the establishment of a Regional Archives and Records Centre1 by Artel Ricks, Serial No. FMR/PGI/81/158, Unesco, Paris, 1981.
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half the national government agencies. Additionally, many of the offices of national agencies in the region continue to follow their long-standing disposition practices of sending semi-active or inactive records to Manila even though the Regional Archives and Records Centre is now available.
III. WORK ACCOMPLISHED
5. Visits were made to the offices of the Resident Representative of the United Nations Development Programme and the Acting Secretary-General of the Unesco
National Commission of the Philippines. Both officials showed very real interest in the project and offered any assistance possible. It was recommended that an effort be made to involve the National Economic Development Authority (NEDA) in the project, but as this suggestion was made at the end of the mission, no action by the consultant was possible other than to pass the suggestion on to the Director of the Bureau of Records Management and to the Project Director.
Briefing sessions
6. To elicit further active support for the project, discussions were held with the governor of Cebu and the mayor of Mandaue City. Briefing sessions were
held at the Centre for officials of agencies in the vicinity of Cebu in conjunction to an 'open house1. The governor of Cebu Province from thé outset of the project has offered his support. Despite a very busy schedule, he demonstrated his interest by attending a briefing session at the Centre and addressing those present with a strong endorsement of the project. The governor also indicated his intention to promote the project through a regional council which he heads. The mayor of Mandaue City also expressed his appreciation for the project and attended a briefing session at the Centre.
7. Two briefing sessions and a tour of the Centre were offered on successive days. A capacity crowd of about 100 agency representatives attended. The briefings
were made with the help of slides explaining the origin and objective of the project, the purposes of archives and of records centres, the advantages afforded agencies, the need for records control schedules, and other services offered by the project staff. The participants' close attention and comments afterwards were positive evidence of the value of the sessions. The invitation sent to government officials that resulted in excellent attendance will be found as Annex I of this report.
8. The Project Director had previously been invited to speak at a regional seminar sponsored by the Civil Service Commission. She invited the consultant to share
the time with her and the concept and services offered by the Centre were explained as well as practical guidance offered in filing and retrieval. The ninety-nine participants came from throughout the entire region. It is understood that the Project Director may expect invitations to speak at future seminars.
9. A number of agencies of the national government follow the practice of sending older records to their headquarters in Manila. Usually, the records are re
tained by their headquarters rather than being sent to the records centre of the Bureau of Records Management (BRM), one reason being the shortage of BRM records centre space in Manila. Any change not only involves overcoming long-standing practices, but calls for agencies to make an exception for Region VII, since this is the only region at the moment with a records centre. The consultant drafted a circular intended to be sent to all national agencies with offices in Region VII to encourage them to authorize Region VII offices to use the facilities of the Regional Archives and Records Centre. The draft is attached as Annex II to this report.
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Archivéis and Records Centre facility
10. The adequacy of the present facility was reviewed. Under the lease agreements, the building owners have provided an attractive office, a training room, a
research room, and working space. They have also partitioned and painted the walls and ceilings of the storage areas white, giving them a clean and pleasant look. In some ways the improvements exceeded expectations, but a few things remain to be done either by the owners or by the Bureau of Records Management (BRM).
11. For fire protection of the records, the building owners used cement block walls with steel doors to separate the storage areas from the offices and working
space. They constructed a similar wall to separate the archives from the records centre storage space, but unfortunately put it in the wrong location. This is not serious although it will mean air-conditioning a larger archival area than intended. The BRM has provided necessary fire extinguishers. The building owners had not yet provided the fire hoses necessary to deliver the emergency water supply on the roof from the faucet outlets to a fire in the Centre. The buildings manager stated that this will be done promptly.
12. The light fixtures in the storage areas will need to be positioned over the access aisles, but it was not determined who would meet this expense.
13. The floors should be painted to reduce dust and facilitate cleaning. The buildings manager agreed to look into the matter and see if the owners would pay
for this improvement.
14. Air-conditioning and furniture will be provided by the BRM in due time. At present, only the Director's office is air-conditioned, and only a few desks
and chairs have been furnished. More than one employee must now share a desk.
15. The specifications given in the project report call for a records centre storage box which is three-fourths of an inch wider than that purchased. The
intent was to provide a box which would more readily accommodate the A-4 paper size when records are inserted parallel to the front of the box. The significance of this was understandably overlooked since the usual practice in the Philippines has been to place the records in the box parallel to its longer side. It was pointed out that the usual file folder used is about fourteen inches wide, even for letter size documents. This is, of course, a wasteful practice causing very wide file cabinets to be purchased and the loss of almost one-third the space in the records centre box. The consultant recommends the use of the wider box called for by the specifications and that an effort be made to discourage purchase of oversize folders and filing cabinets.
16. The shelving being used was found to be stronger than necessary and modifications will reduce the cost. The high cost of the shelving is one reason why
more shelving has not yet been purchased. Preliminary estimates from the shelving manufacturer indicate that there will be a net savings of at least 25 per cent, or $10,000, if the following changes are made:
(a) Eliminate the two steel reinforcements welded to the underside of each shelf, assuming that a suitable test of the shelves proves the supports unnecessary.
(b) Substitute thinner and shorter sway straps for the heavy cross braces now being used on each unit of shelving.
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(c) Eliminate three shelves from each unit if a test shows that the records centre boxes can be stored two-high on each shelf without crumbling. The moisture absorbed by the box due to the high humidity may weaken the boxes. This reduction in shelves is applicable only to records centre shelving, not that used in the archives.
(d) Have the manufacturer use a paint with a harder finish to prevent the boxes from sticking to the shelving.
(e) Assemble the shelving units at the Centre rather than having them pre-assembled before delivery, in order to permit bolting the shelving units together for mutual strength. A new drawing for the modified shelving was drafted by the manufacturer but is not annexed to this report because of minor changes still needed.
17. If the volume and rate of accessions by the Centre increases significantly during the next few months, as expected, the available shelving will quickly
be filled to capacity. Only fifty-two units are now installed and twenty more will be received within sixty days. The seventy-two units would offer a storage capacity of about 3,000 cubic feet. For that reason the consultant has recommended that the BRM consider asking Unesco to authorize the BRM to buy additional shelving in lieu of the microfilm camera scheduled for purchase this year.
18. Some of the records received by the Centre have been found to be infected with termites and other paper-destroying pests. A fumigation chamber seems to be
needed but the cost of a commercial one is prohibitive. The Project Director will inquire into the experience of. other South-Éast Asia i countries, particularly with respect to home-made fumigation chambers. ,
Archives and Records Centre operations
19. The Archives and Records Centre practices being followed in the Centre were reviewed.
20. The finding aids and controls needed have not yet been implemented. The Project Director pointed out that the quantity of records thus far accessioned, about
500 cubic feet, has not made this a priority need. However, the forms being used do provide the necessary information, and the Director understands the paperwork procedures needed and outlined in the original project report. See Annex III for the form used in transmitting records to the Centre. It is recommended that the procedures needed be detailed in writing and put into operation rapidly.
21. Instructions need to be developed for local government, setting forth the procedures to be followed in developing schedules, in transferring records to
the Centre, in obtaining disposal authority, and in preparing records for transfer, etc."The Bureau of Records Management issued a Records Disposition handbook in 1975 which is now being updated. It is well done and would require very little modification for application by local government with respect to the scheduling of records, but it does not cover procedures for using the Archives and Records Centre facility nor for disposing of records. More details about the instructions to be issued are given in Annex IV.
Authority and regulation
22. Existing authority and regulations were examined to see if they adequately covered the needs of the Regional Centre.
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23. The situation with respect to the authority of the Bureau of Records Management over the records of local government has not changed since the original project
report was written. At that time it was noted that a new regulation to be signed by the President would provide the necessary authority. The regulation has not yet been signed.
24. At present, the Regional Archives and Records Centre has no status in law or regulation. However, it will be a recognized entity of government if the pro
posed budget for the next fiscal year is approved. Should that happen, as expected, then it should be followed with regulations defining the mission of the entire network of regional centres, possibly updating Executive Order 290, which is the basic authority for the archives and records management programme, and Departmental Order 94.
25. The consultant found the project somewhat handicapped by uncertainties as to the responsibilities of the Regional Centre and the BRM divisions. The
consultant recommended:
(a) That the Project Director continue to report directly to the Director, BRM, and have essentially the same authority in administrative matters as that accorded all divisions.
(b) That the divisions have pre-eminence in their areas of technical responsibility, such as the issuance of standards, procedures, and guidelines to be applied nationwide.
(c) That the approval of the Director, BRM, be required before any variations are implemented in the standards, procedures and guidelines set forth in the Unesco reports. A more complete statement of these recommendations and a proposed directive intended for issuance by the Director, BRM, is given in Annex V of this report.
Scheduling
26. As indicated earlier, the most serious problem encountered during the mission was the dearth of agency records control schedules. Such schedules are almost
totally missing within local government agencies and by nearly half of the agencies of the national government. Since the Archives and Records Centre has followed a policy of not accepting unscheduled records, the absence of schedules has meant that the Centre has accessioned relatively few records.
27. The project team has thus far developed only two approved schedules, rather than the coverage anticipated when the project got under way. The two approved
schedules will be found as Annex VII. One reason the scheduling process has progressed so slowly is that most of the more experienced analysts on the original team returned to Manila after the initial study and only two records analysts remain. Only one analyst is assigned to scheduling. Another reason is the lack of personnel within the agencies who are trained in and available for the task. A third reason is the absence of schedules which might provide precedents or guides for local governments. In addition, national agencies have been slow to develop schedules or call for BRM approval. Recommended solutions are summarized below and developed in greater detail in Annex VI.
(a) That the Current Records Division, BRM, develop model schedules for three levels of local government—province, city and town. The models should be developed in the realistic environment of actual local government offices but should represent the appraisal of experienced analysts rather than the typically overcautious judgements of agency personnel.
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(b) That the model schedules should then be used by the agencies in Region VII in developing their own schedules, with the help of team members. For this reason the number of qualified analysts assigned to the project should be increased to at least four.
(c) That the Current Records Division give priority to completing those national agency schedules which would be of greatest help to the project.
(d) That the crash programme for developing the models be targeted for completion within six months.
(e) That the Regional Archives and Records Centre accept records not covered by authorized schedules if they appear to have several more years of life remaining, and if schedules are being developed.
28. The schedules thus far developed within Region VII were reviewed as well as the application of existing national schedules by the region. The national
schedules were also sampled for their possible use as models for the development of other schedules within the region. As a result, the following suggestions were made :
(a) Care should be given to scheduling records by series and to providing adequate descriptions of the series. This is particularly important in developing the model schedules called for in paragraph 27 since the serial description must be understood by hundreds of local agencies now, and thousands when a full network of centres are in operation.
(b) Particular caution should be exercised in approving records proposed for 'permanent' retention. The national archives rather than the agency creating the 'permanent' records should make the final decision, since approval is tantamount to guaranteeing their eventual and permanent storage by the archives.
(c) The degree of persuasion used to encourage agencies to modify unrealistic retention periods should be weighed against the quantity of records involved and the reasonableness of the retention time proposed.
(d) Modifications of the Records Disposition Schedule form were suggested: (1) to permit a distinction between agency storage and BRM records centre storage; and (2) to provide for approvals of schedules in keeping with organizational relationships suggested in paragraph 25 and Annex V of this report. The proposed revision, drafted by the Project Director, will be found as Annex VIII.
29. The question/ of quality in scheduling was discussed with the personnel who will be concerned with developing models. Samples of schedules of acceptable
quality developed elsewhere were provided.
Training BRM personnel
30. Training in scheduling was provided to selected personnel of the project team whenever time would permit. Scheduling was also discussed in greater depth
with the Project Director, the Director of the Archives Division, and the Director and Assistant Director of the Current Records Division, BRM.
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IV. SUMMARY OF RECOMMENDATIONS
31. A circular should be issued to all headquarters agencies of the national government encouraging the use of the Regional Archives and Records Centre
by their offices in Region VII (see paragraph 9 and Annex I).
32. The building owners should provide fire hoses capable of delivering water from the emergency water supply outlets to anywhere in the Centre
(see paragraph 11).
33. The building owners or the Bureau of Records Management should relocate the light fixtures in the storage area so that they are over the records access
aisles (see paragraph 12).
34. The building owners should see that the floors in the storage area are painted in order to reduce dust and facilitate cleaning (see paragraph 13).
35. Air-conditioning of the archives area and office space should be provided when funds are available (see paragraph 14).
36. The Bureau of Records Management should purchase records centre boxes that are three-fourths of an inch wider-than that purchased to date (see
paragraph 15) .
37. The cost of shelving should be reduced by eliminating unnecessary shelf reinforcements, substituting thinner and shorter straps for heavy cross bracing,
reducing the number of shelves for records centre units, and assembling the units in the Centre where they may be bolted together. In addition, a paint with a harder finish should be used (see paragraph 16).
38. The Bureau of Records Management should consider purchasing additional shelving in lieu of a microfilm camera during the current fiscal year (see paragraph 17).
39. The Bureau of Records Management should investigate the possibilities of a home-made fumigation chamber (see paragraph' 18).
40. The Bureau of Records Management should prepare and implement detailed procedures for use by the Centre in retrieving records and in controlling their receipt
and disposition (see paragraph 20).
41. The Bureau of Records Management should develop instructions needed by agencies within Region VII in scheduling, transferring, retrieving and disposing of
records (see paragraph 21 and Annex II).
42. The Bureau of Records Management should revise existing regulations to incorporate the archival network, or at least the present Regional Centre, as an
integral part of the Bureau of Records Management. This should be done following approval of a budget for the existing Centre (see paragraph 24).
43. The Bureau of Records Management should clarify the authority and responsibility of the Regional Centre and its relationship to other divisions of the BRM
under a directive signed by the Director of the Bureau (see paragraph 25 and Annex III).
44. The Current Records Division, BRM, should develop within six months model records control schedules for use by the provincial, city and town governments
(see paragraph 27(a) and Annex IV).
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45. The Bureau of Records Management should increase the number of qualified analysts assigned to the project to four (see paragraph 27 (b) and Annex IV).
46. The Current Records Division, BRM, should give priority to completing those national agency schedules which would be of greatest help to the project
(see paragraph 27 (c) and Annex IV).
47. The Regional Archives and Records Centre should accept certain records not covered by schedules (see paragraph 27 (e) and Annex IV).
48. The Bureau of Records Management should apply greater care in the approval of schedules, particularly in regard to identification and description of
series, determination of permanent retention, and possible over dependence on agency recommendations (see paragraph 28).
49. The BRM should consider ways of sharing the Philippine experience with other developing nations, including an invitational seminar to be held at the Centre
when the project is further along, perhaps during the latter part of 1983.
50. Further consultant assistance should be sought in furtherance of this project, not only to help implement recommendations of this and the previous report,
but also to find ways of making the Centre more useful to the public.
51. Further funding should be sought in order to further enhance and expedite the already evident probability of the project becoming a valuable model.
ANNEX I
Annex I
INVITATION TO ATTEND BRIEFING SESSIONS ISSUED BY THE REPUBLIC OF THE PHILIPPINES BUREAU OF RECORDS MANAGEMENT REGIONAL
ARCHIVAL NETWORK
14 June 1982
Sir/Madam:
We are pleased to invite you to a briefing session on the new services available to your agency pertaining to government records. You may also visit the new Regional Archives and Records Centre and evaluate its advantages to you in storing your relatively inactive records and those that need to be kept permanently.
The briefing will be given by Mr Artel Ricks, a Unesco consultant, who provided us with professional guidance in setting up this Archives and Records Centre and its related services. Unesco has co-sponsored with the Bureau of Records' Management (Ministry of General Services) this project because it is seen as a potential model for similar services in developing nations worldwide.
Mr Ricks views the progress thus far as excellent. We hope you will see for yourself by participating in this one-and-a-half hour briefing session to be held at 9.00 a.m. on Wednesday and Thursday (16-17 June). The location of the session will be at the second floor of the Gelac Building, Mandaue City.
Very truly yours,
TERESITA R. IGNACIO Project Director
Please fill in the boxes below:
/ / I will attend and prefer / / 16 June
/ 7 17 June
/ / I will not attend but will send a management representative
ANNEX II Annex II
DRAFT CIRCULAR TO BE ADDRESSED TO AGENCIES OF THE NATIONAL GOVERNMENT ENCOURAGING THE USE OF THE REGIONAL ARCHIVES AND
RECORDS CENTRE BY THEIR OFFICES IN REGION VII
SUGGESTED CONTENTS
1. The purpose of this circular is to announce the services now available without cost to agencies in Region VII which are offered by the Bureau of Records
Management (BRM), Ministry of General Services.
2. A regional office of the BRM is now operating in Region VII as a result of a project jointly sponsored by the Bureau and the United Nations Educational,
Scientific and Cultural Organization (Unesco). Unesco's participation results from an interest in providing a model for proper record-keeping and disposal which will eventually be applied in all regions of the Philippines and by developing nations elsewhere. A Unesco consultant in records management has helped to ensure that the most effective and modern practices are employed.
3. A facility has been provided in Mandaue City, Cebu, for the preservation and public use of records of permanent research value and for the storage and
agency use of records which cannot yet be destroyed, but which are not needed on a daily basis in expensive and crowded office space. The facility offers considerably better protection from fire, mold, dust and insect infestation than is generally available in the government offices of the region. It provides the special containers needed for records storage and the shelving necessary to obtain maximum utilization of the space. The records may be retrieved at any time and mailed to the agency that transferred the records, or they may be used on the premises by agency personnel.
4. Analysts from Region VII, BRM, will also assist in the development or application of agency schedules as needed, in the development of efficient and reliable
filing systems, and in training personnel in the application of good filing practices.
5. Agencies which have previously called for their regional offices to transfer their inactive records to Manila are particularly encouraged to determine if
that practice is still necessary for their offices in Region VII. Sending the records to the Archives and Records Centre in Mandaue City, Cebu, may not only be more economical but also keep the records closer to the offices that created them.
6. The address and telephone number of the BRM office and facility are:
Annex
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Annex III - page 3
INSTRUCTIONS
Items
1 - 5 Self-explanatory
6 (a) The RAN record group number. This number is assigned by RAN to the records of an agency or subdivision of an agency to control transfers and other disposition actions.
(b) The last two digits of the current fiscal year.
(c) A four-digit sequential number. This number is obtained in advance from the Records Centre or assigned by the agency records officer or other official by prior arrangement with the Records Centre.
(d) Enter the total volume (in cubic metres) for each series of records being transferred. If odd size bundles are being retired, check with the Records Centre to determine the best method of calculating the size.
(e) Show the inclusive box numbers for each accession being transferred. Each new accession should begin with number 1.
(f) Describe the records in sufficient detail to allow the Records Centre to check for the proper application of the disposal authority and to facilitate reference service. Special restrictions should be detailed here.
(g) Inclusive dates of the records should be shown.
(h) Enter one of the following codes to show the restriction on the use of the records.
Q 'Q' security classification T Top secret S Secret C Confidential R Restricted use N No restrictions
(i) Por each series of records, cite the agency RDS or MGS General Records Schedules and the specific item number authorizing disposition.
(j) Applying the disposition authority cited in Column 6i, enter the month and year the records should be destroyed.
(k) -
(1) - TO BE COMPLETED BY RAN WHEN THE TRANSFER IS APPROVED
(m) -
An agency should prepare an original and four copies of these forms. One copy is to be retained by the agency as a file copy, and the original and three other copies should be sent to the RAN to arrive at least two work days before the desired date of the records shipment. If the transfer is approved, the RAN will complete columns 6k and 61 and return two copies of the forms to the agency. One of these copies should be placed in the first carton of the shipment when the records are shipped to the Centre. Upon receipt of the records shipment, the copy is acknowledged in the RAN and returned to the agency for its files.
Annex IV
ANNEX IV
i
SUGGESTIONS FOR DEVELOPING INSTRUCTIONS NEEDED BY AGENCIES OF REGION VII
RECOMMENDATION
Develop instructions needed by agencies within Region VII in scheduling, transferring, retrieving and disposing of their records. This will include a supplement to the 'Records Disposition' handbook to adapt it to use by local government.
SUGGESTED CONTENTS
1. The actual modifications of the Records Disposition handbook involved in the proposed supplement are likely to be minor. Some of the forms involved may be
different although the concepts and procedures described are essentially the same. Information on who to contact for assistance or for initiating records transfers to the archives or records centre should be specifically mentioned as the Mandaue address for agencies in Region VII rather than Manila.
2. Most significantly, the supplement needs to describe such procedures as:
(a) Why Records Control Schedules are necessary, referring as needed to per
tinent sections of the handbook for instructions on how they are developed.
(b) Identifying records - to be transferred to the archives or to the records
centre.
(c) Preparing records transfer forms (including a filled-in example of the
Records Transmittal and Receipt Form used in Region VII).
(d) Preparing records for transfer (including the boxes used).
(e) Shipping instructions.
(f) Reference service procedures (how to get the records back when needed).
(g) Disposal of records (by the office and by the centre).
(h) Other services offered by the regional office of the BRM (including filing
systems and perhaps, microfilm services).
Annex V
ANNEX V
SUGGESTIONS FOR A DIRECTIVE DEFINING THE RELATIONSHIP OF THE REGIONAL ARCHIVES AND RECORDS CENTRE
TO THE BRM DIVISIONS
RECOMMENDATION
Clarify the authority and responsibility of the Regional Centre and its relationship to other divisions of the BRM by directive signed by the Director of the Bureau.
SUGGESTED CONTENTS
The following are ideas for possible inclusion, but not the exact wording.
Policy
1. The Project Director reports to the Director, BRM, and has the same authority in administrative matters as that accorded all division chiefs.
2. This does not affect the pre-eminence or responsibilities of the divisions in their spheres of technical responsibility, such as the issuance of standards,
procedures and guidelines to be applied nationwide. When the network is expanded to other regions, the divisions will have responsibility for co-ordinating and monitoring the technical aspects of their work.
3. The standards, procedures and guidelines of the other divisions shall be applied except where they differ from those outlined in the Unesco reports.
Any variations from the guidelines and procedures contained in these reports will require the prior approval of the Director, BRM.
Procedure
1. Archives Records
(a) The Centre shall forward to the Archives Division a copy of the Transmittal and Receipt Form for each accession of archival records by the regional archives.
(b) The Archives Division shall provide the Centre with a copy of all Archives Transfer Forms for all past and future accessions of archival records by the Division. (This will serve as a help to researchers as well as provide guidance to the RAN.)
2. Records Centre Transfers
The Centre shall forward to the Records Storage Division a copy of the Transmittal and Receipt Forms for each accession of temporary records by the Regional Records Centre.
3. Scheduling
(a) The Centre shall submit proposed records retention and disposal schedules to the Records Management Evaluation Committee for final review.
Annex V - page 2
(b) Schedules approved by the Committee without modification shall be signed by the Chairman and submitted to the Director, BRM, for approval.
(c) Schedules with proposed Committee modifications shall be sent to the Centre for co-ordination and agency comments before being returned to the Committee. (This procedure is necessary since it is unlikely agency representatives from Region VII would be able to participate with the Committee as expected by Office Order No. 4.)
(d) Approved schedules shall be returned to the originating Region VII agency through the Centre.
4. Disposal •
(a) The Project Director shall serve as the agent of the Director, BRM, in reviewing and approving requests for disposal of records in Region VII which are covered by an authorized schedule.
(b) The Centre shall review and recommend to the Current Records Division the appropriate action to be taken on all requests for disposal of records in Region VII which are not covered by an authorized schedule.
(c) The actual disposal of records within Region VII will be witnessed by personnel of the Centre if necessary.
5. Liaison
The Current Records Division shall designate a senior officer to expedite the submissions from the Centre and serve as liaison with national agencies as needed.
Annex VI
ANNEX VI
SUGGESTIONS FOR DEVELOPING MODEL RECORDS
SCHEDULES FOR USE BY LOCAL GOVERNMENT AGENCIES
RECOMMENDATIONS AND COMMENTS
1. A model records schedule be developed for each level of local government:
province, city and town. These models may then be applied by local governments
with the advice and assistance of Centre analysts, producing tailored schedules.
(a) The model schedules should represent the best judgement of the Records
Management Evaluation Committee, BRM, after careful analysis by the
Current Records Division. Presumably, they will vary substantially from
the actual schedules developed for the province, city and town used as
a source of information for the model. Agency personnel typically are
more conservative than necessary when scheduling their records for the
first time.
(b) The model schedules should contain adequate descriptive information of
each series of records so that other provinces, cities and towns will
not have difficulty in relating them to their own similar records.
(c) The disposition action provided in the model schedules should include:
(a) the length of time the records should be held in the office before
disposal or retirement to a records centre; (b) the time they should be
held by the agency or BRM centre before disposal or transfer to the
archives; and (c) the total expected life of the records. Any other
special instructions, such as 'start a new file every year" or 'microfilm'
should be included.
(d) Particular care should be taken to appraise records which the agency may
propose for 'permanent' retention. A decision in this matter is actually
almost exclusively the right of the BRM rather than the agency, and
approval of a schedule by the Director essentially commits the BRM
to accept them into the archives for future research use.
2. Development of the model records schedule be assigned to the Current Records Division rather than the Centre for the following reasons:
(a) The Centre does not have an adequate number of analysts to develop the
schedules. At present, the Centre has only one analyst assigned to
scheduling.
(b) It would be difficult and involve considerable personal hardships for
several experienced analysts from the Current Records Division to be
assigned to Cebu for the six months the task is likely to require.
(c) The Current Records Division has an ample trained staff to do the job
and to give it priority over other essential work.
(d) The Current Records Division has the basic BRM technical responsibility
for scheduling and a vested interest in producing a model which can be
used nationwide.
Annex VI - page 2
(e) There is little reason why the model cannot be developed from a study of provincial, city and town governments within commuting distance of Manila.
3. The Current Records Division should give some priority to completing those national agency schedules which would be of greatest help to the Centre.
4. Completion of the model schedules be targeted for six months, but the completed segments should be made available to the Centre during the process
so that they may be used in transferring records to the Archives and Records Centre soon.
5. The number of analysts assigned to the Centre should be increased to at least four, and steps taken to see that they are fully trained and qualified to
help the agencies develop their own schedules, aided by the models.
6. The Centre should modify its practice of refusing to accept unscheduled records and permit the immediate transfer of records which appear likely to
have several years of life remaining and for which schedules are being developed.
Annex
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