National Archives Act: Strengthening management

Policy, purpose, and coverage rules

The State policy is to protect, conserve, promote and popularize the nation’s historical and cultural heritage and resources (Section 2).
The State shall pursue, conserve, and promote Filipino cultural heritage and resources, including documentary records of Filipino culture, history and governance (Section 2).
The State shall give utmost priority to the safeguard, protection, and preservation of public documents and records as essential to efficient and effective governance and to preservation of history and cultural memory (Section 2).
The Act covers all public records with archival value, held by government offices or private collections, and covers archival and records management programs and activities in all branches of government, whether national or local, and across specified institutions (Section 3).
The Act explicitly includes: constitutional offices, LGUs, GOCCs, government financial institutions, state universities and colleges, Philippine embassies, consulates, and other Philippine offices abroad (Section 3).

Key definitions and established concepts

“Archives” includes (1) public records selected for permanent preservation, (2) the place where archival materials are kept and preserved, and (3) an organization whose main function is to select, collect, and preserve archival records and make them available for public use (Section 4(c)).
“National Archives of the Philippines” is the National Archives established and strengthened under the Act (Section 4(o)).
“Public records” are records or classes of records, in any form, created or received by a government agency in the conduct of its affairs and retained as evidence or because of the information contained therein (Section 4(w)).
“Records” covers information in original or other forms, including documents, signatures, seals, texts, images, sounds, speeches, and data compiled, recorded, or stored in written form, on film/negative/tape/medium capable of reproduction, or by means of a recording device or computer/electronic process (Section 4(x)).
“Disposition” is the systematic sorting of records so that valuable records are permanently preserved and valueless records are disposed of (Section 4(h)).
“Disposal” means selling, burning, or any other way of discarding valueless records in accordance with the Act (Section 4(g)).
“Open access records” are (1) public records existing for at least thirty (30) years or transferred under the executive director’s custody/control, and classified as open access under Section 30 and to which public access has not been prohibited under Section 31, and (2) local government archives no longer in use or existing for at least thirty (30) years, classified as open access under Section 32, and to which access has not been prohibited under Section 33 (Section 4(p)).
“Restricted access records” are records whose access is restricted because of a legal impediment and/or an advice/standard issued by the executive director requiring withholding from public access (Section 4(aa)).
“Protected record” refers to local government records containing data indispensable for historical research and/or continuous fulfillment of public duties and realization of citizens’ rights, and not or only partially available from other sources (Section 4(s)).
“Public access registry” is a public access register containing prohibition and restriction on unauthorized disclosure and access of information in public records (Section 4(t)).
“Vital records” are records essential for emergency operation during a disaster, resumption/continuation of operations, re-establishment of legal/financial/functional status, and determination of rights and obligations of individuals and corporate bodies with respect to the organization (Section 4(cc)).

National Archives: establishment, mandate, structure

A National Archives of the Philippines is established to store, preserve, conserve, and make available public archives to the public (Section 6).
The National Archives is attached to the National Commission for Culture and the Arts (NCCA) for budgetary purposes (Section 6).
The National Archives primarily implements the Act by planning, developing, prescribing, disseminating, and enforcing policies/rules/regulations and coordinating government-wide programs for creation, protection, use, storage, and disposition of public records, including acquisition/storage/preservation of public archives (Section 6).
The National Archives must perform enumerated functions, including archival research and dissemination of valuable archival information subject to open access, technical assistance, training, acquisition of archival materials, preservation/conservation, issuance/authentication of reproduced/certified copies, and maintaining a registry of public records and public access status (Section 6).
The National Archives is headed by an executive director with a rank equivalent to a bureau director, assisted by two deputy executive directors responsible for archives administration and records management (Section 7(a)).
The executive director is appointed by the President, has a fixed term of five years, and in case of vacancy serves the unexpired term of the predecessor (Section 7(a)).
Incumbent officials in the existing Records Management and Archives Office continue to serve for one year after effectivity or until completion of terms or an extension by the President; any extension cannot exceed the five-year term allowed under the Act (Section 7(a)).
The National Archives retains the existing staffing pattern under Executive Order No. 285, with the executive director required to recommend within one year a reorganization/restructuring subject to rules of DBM and CSC (Section 7(a)).
The executive director and deputy executive directors must meet minimum qualifications: Filipino citizen, good moral character, unquestionable integrity, and a master’s degree in specified fields; plus 10 years actual experience for the executive director and 5 years for deputy executive directors (Section 8).
The executive director’s functions include establishing policies/standards/guidelines, examining/identifying/classifying records of enduring value, directing and determining modes of disposal/destruction or authorizing disposal, establishing access measures, ensuring security, reporting loss to the President and initiating recovery actions, and issuing rules/regulations for transfers, destruction, admission to the National Archives, use of archives, custody/preservation of Presidents’ papers and private records, and prescribing forms for implementation (Section 9).

Records management system and disposition controls

All government offices must each establish their archives and records office/unit in coordination with DBM and the National Archives, using organic personnel, within one year from effectivity; the archives and records office/unit is headed by the records officer or archivist (Section 13).
The National Archives must institute a comprehensive registration and accreditation program for various public archives nationwide, including an archival audit consistent with Section 34 (Section 14).
All government offices must regularly conduct an inventory of public records and keep prescribed data in their registries, including custody lists, transferred records, disposed records under Sections 18 and 19, data of deferred transfer under Section 21, and a public access register covering specified restrictions/prohibitions and conditions (Section 15).
Government departments, bureaus, agencies, and instrumentalities must ensure full public accessibility of the registry (Section 15).
Government offices, including GOCCs, must prepare and submit a records disposition schedule in the prescribed form; disposition is governed by the approved schedule after approval by the executive director (Section 16).
The National Archives must develop a general records disposition schedule prescribing disposal of public records common to all government offices (Section 17).
No government office may dispose of/destroy or authorize disposal/destruction of public records in its custody/control without prior written authority of the executive director (Section 18).
The executive director authorizes disposition in writing only for specified purposes: (1) transferring control to another government office, (2) transferring control to the executive director, (3) destroying the public record, or (4) selling the public record (Section 19(a)).
Before the executive director authorizes disposition, the head of the government office must give the executive director at least thirty (30) days notice for intention to transfer control, dispose, and include a general list/description and where additional information/comments may be sent (Section 19(b)).
Heads of government offices must cause transfer of specified public records to the National Archives’ custody/control, including: archival materials over thirty (30) years no longer maintainable/preservable; noncurrent records judged by the executive director as of permanent and enduring archival value; records of offices that cease to exist or cease to perform functions relating to the records (unless law transfers responsibility); and noncurrent records with retention periods of thirty (30) years or more, including often referred to “201 files” (Section 20(a)).
The executive director may defer transfer if satisfied that immediate transfer would prejudice administration or be contrary to public interest (Section 20(b)).
Transfer of classified records is prohibited unless with prior written consent of the head of the government office charged with custody/control (Section 20(c)).
Nothing in Section 20 extends authorization for transfer of classified records, and the Act does not affect copyright law (Section 20).
Public records in the possession of a private person with special permission to keep/handle records for official duties must be surrendered on demand if the executive director considers the records of permanent and enduring archival value (Section 20(e)).
Public records demanded may be retained if the head of the government office has permitted the private person to retain possession (Section 20(f)).
Deferred transfers are allowed when: (1) disposition is under specific acts/laws/regulations; (2) the head of controlling office and the executive director agree in writing to defer transfer for specified period with agreed conditions; or (3) public records in electronic form may be maintained and controlled by the controlling office after the thirty (30) year period if the executive director instructs in writing (Section 21(a)).
Written agreements under the deferral rule may be renewed for further specified periods by agreement between the administrative head and the executive director (Section 21(b)).
Instructions for deferred transfers of electronic records must identify covered records, may contain preservation/use conditions, and may specify a transfer date to the executive director’s control (Section 21(c)).
Every deferred transfer must be noted in the Registry of Deferred Transfers in accordance with the registry requirements under Section 15(e) (Section 21(d)).

Repositories, inspection, reporting, and audit

The National Archives may establish Regional Archives, Records Centers, and Agency Records Centers:
- Regional Archives store, process, service, and preserve public archives of government offices in a region or regions (Section 22(a)).
- Records Centers store, process, and service noncurrent records transferred in Records Centers (Section 22(b)).
- Agency Records Centers are managed and operated by each government office to maintain and preserve public records under its custody/control (Section 22(c)).
The executive director may bestow approval on appropriate archives (including a museum, library, another archive, or local government repository) as approved repositories and may amend or revoke such approval (Section 24(a)).
The executive director may inspect approved repositories at any time after reasonable notice (Section 24(b)).
With consent of the approved repository and agreement of the controlling government office head, public archives may be deposited in approved repositories, under conditions or instructions, and the executive director may impose standards to preserve national interests, ensure proper maintenance, and maintain appropriate public access (Section 24(c)).
The executive director may direct an approved repository to transfer public archives to the National Archives, another approved repository, or the controlling government office (Section 24(d)).
Standards issued by the executive director must be published in the Official Gazette or in a newspaper of general circulation not later than 90 days before effectivity; without required publication, standards are deemed not effective (Section 25).
The executive director may inspect, after reasonable notice, the system and procedure for maintaining and the storage/condition of public records, but inspection is prohibited where records carry security classifications or are restricted by other legislation without consent of the head of the controlling government office (Section 26).
The inspection rule applies with necessary modifications to local government records and local government archives (Section 26).
The executive director may direct in writing the head of a government office or approved repository to report on specified aspects of record-keeping practice and on public records controlled/possessed (Section 27).
The executive director must make an annual report to the President on the state of record keeping; it must be included in the President’s annual report to Congress (Section 28).
The executive director must conduct periodic records management audits of the National Archives and other government offices; heads of government offices must grant access to all records for audit purposes (Section 29).
Records found not included in a government office’s records disposition schedule must be entered in Form 2 for approval of the National Archives (Section 29).
Audits are conducted after five years from effectivity and thereafter (Section 29).

Public access: open, restricted, and registry rules

When public records of thirty (30) years or more are about to be transferred under Section 20, the head of the controlling government office must classify them as either open access records or restricted access records under Section 30 and Section 31 (Section 30(a)).
The head of the controlling government office may change the classification of a public record at any time (Section 30(b)).
In classifying access status, the controlling government office head must consider existing rules and regulations on classified records (Section 31(a)).
If there are no good reasons to restrict public access or no legal impediment requires withholding, the record must be classified as open access (Section 31(b)).
If there are good reasons or a legal impediment exists, the office head, in consultation with the executive director, must determine whether restriction is necessary for a specified period or permit access with conditions (Section 31(c)).
The controlling government agency may vary or withdraw a condition on public access in consultation with the executive director (Section 31(d)).
A record subject to restriction becomes open access upon withdrawal of the restriction, and the National Archives must comply with access conditions imposed (Section 31(e)-(f)).
Restrictions on public access must be noted in the Public Access Registry in accordance with Section 15(e) (Section 31(g)).
The controlling government office is responsible for dealing with requests for official and personal information under existing laws and regulations on access to classified matters (Section 31(h)).
When a local government record becomes a local government archive, the local government head must classify it as open access or restricted access (Section 32(a)).
The local government head may change the classification at any time (Section 32(b)).
Grounds for local government access classification are based on either good reasons (including relevant standards/advice issued by the executive director) or existence of a legal impediment requiring withholding (Section 33(a)).
If restrictions are warranted, access may be restricted for a specified period not exceeding thirty (30) years, or public access may be permitted under conditions (Section 33(b)).
Restrictions may be extended for one or more further periods, each not exceeding thirty (30) years (Section 33(c)).
The local government head may vary or withdraw imposed conditions, considering relevant standards/advice issued by the executive director (Section 33(d)).
A local government record becomes open access on withdrawal of restriction (Section 33(e)).
Open access records must be made available for public inspection as soon as reasonably practicable after a request to inspect, to the government office/LGU/approved repository/National Archives whichever has possession (Section 34(a)).
The executive director may authorize, in writing and subject to conditions deemed appropriate, the publication or replication of a public archive that is an open access record (Section 35).
Accessing or replicating a public archive or protected record under the control and custody of the National Archives is prohibited, and the prohibition must be noted in the Public Access Registry (Section 36).
For restricted access records, the period for restriction may be reviewed after the expiry of ten (10) years from the date the restriction is recorded in the Public Access Registry upon written request of the executive director; before expiry it may be extended for further periods as specified by the controlling government office head (Section 37).

Protected local government records procedure

The executive director may, by notice in the Official Gazette made after consultation with any local government concerned, declare a local government record a protected record (Section 23(a)).
An LGU must provide adequate protection and preservation for a protected record in accordance with standards or instructions issued by the executive director (Section 23(b)).
An LGU may not dispose of a protected record unless it: (1) notifies in writing the executive director of its intention to dispose, (2) identifies the protected record concerned, and (3) specifies how it intends to dispose (Section 23(c)).
Within three months after receiving written notification under Section 23(c)(1), the executive director must either (1) direct the LGU to transfer the protected record to the executive director’s control subject to conditions agreed by the LGU head and executive director, or (2) authorize disposal of the protected record (Section 23(d)).

Offenses, penalties, and enforcement consequences

A person commits an offense if the person willfully or negligently damages a public record, disposes of/destroys a public record other than in accordance with the Act, or contravenes or fails to comply with the Act or regulations under the Act (Section 40).
Any public officer who commits unlawful acts or omissions mandated under the Act is punished by a fine of not less than PHP 500,000 but not exceeding PHP 1,000,000, or imprisonment of not less than 5 years but not more than 15 years, and/or both fine and imprisonment at the discretion of the court (Section 41(a)).
Conviction and administrative consequences include: filing of administrative charges that result in perpetual disqualification from public office, and forfeiture in favor of the government of the public officer’s salary and other lawful income (Section 41(a).
A violation of Section 44 proven in a proper administrative proceeding is sufficient cause for removal or dismissal of a public officer even if no criminal prosecution is instituted (Section 41(b)).
A person convicted may be prohibited by court order from having access to the National Archives for any period the court deems appropriate (Section 41(c)).
Prosecutions are within the original jurisdiction of the proper regional trial court until otherwise provided by law (Section 42).
Offenses prescribe in twenty-five (25) years (Section 43).
No public officer may resign or retire pending investigation (criminal or administrative) or pending prosecution for an offense under the Act or relevant provisions of the Revised Penal Code (Section 44).
Any public officer against whom criminal prosecution under the Act or Revised Penal Code is pending is suspended; on conviction by final judgment, the officer loses all retirement or gratuity benefits; on acquittal, the officer is entitled to reinstatement and to salaries/benefits not received during suspension unless administrative proceedings were filed in the meantime (Section 45).

Institutional transitions, implementing rules, repeal, separability, effectivity

The Records Management and Archives Office is abolished; its assets, fixed and movable property, contracts, records, and documents are transferred to the National Archives (Section 38(a)).
Agreements and contracts entered into by the abolished office remain in full force and effect unless terminated, modified, or amended by the National Archives (Section 38(b)).
Officials and employees of the abolished office are absorbed by the National Archives on the basis of merit and fitness; those separated receive retirement and other benefits under existing laws (Section 38(c)).
The executive director may reorganize the structure and staffing pattern of the National Archives to carry out its functions (Section 39(a)).
Incumbents in the leadership structure of the existing office are automatically upgraded to analogous positions; other personnel receive automatic reappointment except those who opt for an early retirement scheme (Section 39(b)).
The executive director must develop and promulgate implementing rules and regulations through the current director of the abolished office in coordination with specified agencies, within 90 days after approval; the first executive director appointed must fully implement within two years after approval (Section 47).
Executive Order No. 290 (s. 1958) and the applicable provisions of Executive Order No. 80 (s. 1999) are repealed, and any laws, presidential decrees, issuances, executive orders, letter of instruction, administrative orders, proclamations, charters, rules, regulations, and parts thereof contrary to or inconsistent with the Act are repealed, modified, or amended accordingly (Section 48).
The Act is separable: unconstitutional parts do not affect other portions that remain in force (Section 49).
The National Archives is authorized and required to acquire buildings and facilities to accommodate all permanent and other vital public records in its custody (Section 46).