(PSU LOGO)
ISBN No.: 978-971-93886-2-3
RECORDS MANAGEMENT
OFFICE OPERATIONS MANUAL
(Version 01)
***
Records Management Office
Administrative Division
JANUARY 2013
1
PRODUCTION NOTES:
DR. JETER S. SESPEÑE
University President
(Consultant)
PROF. MARILYN G. PABLICO
Chief Administrative Officer
(Working Team Adviser)
MARY PAZ F. ANGELES
Records Officer
(In-Charge, Data Information and Output Preparation)
AMPARO F. ESGUERRA
Cover Design
BALTAZAR A. BANTILLO
Public Relations, Information and Media Office
(Lay-Out and Design)
THE PSU RECORDS MANAGEMENT OFFICE WORKING TEAM
Mary Paz F. Angeles
Ma. Elena C. Biolena
Eva B. Bungalso
Clyde D. Regla
Sheryll Anne B. Reginio
Manolo P. Bundukin
Mishel Angielic G. Castro
Ryan Kristoffer L. Fortes
Public Relations, Information and Media Office (PRIMO)
(Printing)
THE PSU RECORDS MANAGEMENT OFFICE WORKING TEAM
(Coordination and Distribution)
2
PSU RECORDS MANAGEMENT OPERATIONS MANUAL
Version 01, January 2013
Printed by the Public Relations and Media Office (PRIMO)
Palawan State University, Tiniguiban Heights Campus
Puerto Princesa City, Palawan, Philippines
Advisory Note:
No part of this Manual may be imitated, reproduced, stored or transmitted, in any form
or in any related means such as electronic, photocopying or reproduction, scanning, fax transmission,
recording or otherwise without prior request or permission from Palawan State University.
3
TABLE OF CONTENTS
i
ii
Preface
Acknowledgment
Chapter I
-
Section
Section
Section
Section
Section
Section
Section
1
2
3
4
5
6
7
Section
Section
Section
Section
Section
Section
Section
Section
Section
8
9
10
11
12
13
14
15
16
Section 1
Section 2
Section 3
Section 4
Section 5
1
Title
Policy Statement
Records Management (Defined)
Records Management Functions
Flow of a Functional Records Management System
Scope of the Records Management Program
Basic Steps for the Proper Execution and Control of the Records
Management Program
Essential Elements of a Complete Records Management Program
Purposes of Records Management
The Concepts of Records Management
The Goals of the Records Management Program
Phases of Records Management
Categories of Value of Records
Functions of the Records Management Office
Duties and Responsibilities of the Records Management Office Personnel
Records Management Office Organizational Structure
and Flow Charts
a)
b)
c)
d)
e)
f)
Chapter II
Title and General Provisions
-
Division Chart (Administrative Division)
Section’s Chart
Functional Chart
Documents Flow Chart
Filing Flow Chart
Retrieval Flow Chart
Policies and Procedures
20
Policies
Receiving of Correspondence, Mail Management and
Messenger Services
Releasing of Correspondence and Documents
Related Services
Requests for Official Records
4
Chapter III
Section
Section
Section
Section
Section
Section
Section
Section
Section
Section
Section
Section
Section
Section
Section
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
Chapter IV
Section
Section
Section
Section
Section
1
2
3
4
5
Chapter V
Section
Section
Section
Section
Section
Section
-
Chapter VI
Section 1
Section 2
33
Records Appraisal
Records Inventory
Records Disposal
Records Maintenance
Records Retention
Filing Classification Scheme/Guide
Records Authentication Services
Staff Training and Development
Lakbay-Aral
Outreach Training
Echo-Training
Physical Plan and Facilities Improvement
Communication Equipment Procurement
Documentation Equipment Procurement
Records Computerization
-
Classification and Filing
37
Classification and Filing
Uniform Filing Classification Scheme
Procedures in Filing
Pointers in Filing
Servicing with Files and Records Retrieval
-
1
2
3
4
5
6
Programs and Objectives of the Records
Management Office
Policy Statements on Handling Records
40
Access to Official Records
Incoming Mail and Correspondence
Outgoing Communications
Messenger Services
Issuances
Secrecy of Communication
-
Access to Official Records
42
Office Rules on Requests for Information
and Access to Official Records
Authentication, Verification and
Certification of Documents
5
Chapter VII
Section
Section
Section
Section
Section
1
2
3
4
5
Chapter VIII
Section
Section
Section
Section
1
2
3
4
Chapter IX
Section 1
Section 2
Section 3
Section 4
Section 5
-
Security of Records
44
Records Security (Defined)
Factors to be Considered in Records Security
Important Tools on How to Protect Records
Privacy in Documents Handling
Infidelity in the Custody of Documents
-Records Retention and Disposition
47
Records Disposition (RD)
Records Disposition Schedule (RDS)
Records Disposition Program (RDP)
Setting up of a Records Disposition Program
-
Electronic Records
50
Legal Basis of Electronic Records
Familiar formats of Electronic Records
Steps and Procedures for the Management of
Electronic Mail
Managing Documents with Electronic Signatures
Disposal of Electronic Records
Glossary
54
Appendices
60
References
67
6
PREFACE
The Palawan State University Records Management Office embarks on the
preparation of a Records Management Operations Manual in order to adopt
functional policies and procedures in the management of records.
The security of records is a vital essential in an organization. Records are
considered as the memory of an agency. The Records Management Office being the
Center for records custody of the University shares one its perspectives, the
preparation of an Operations Manual to serve as guide in the implementation of
standardized and functional policies and procedures in records management.
Further, it is hoped that this Manual could be used as one of the references
of all concerned offices of the university and at the same time shall serve as an
important tool for the records custodians, office staff, and personnel handling
records to clarify and to internalize their vital roles and responsibilities by providing
them with updates, guidelines and basic principles of a sound, effective, and
systematic handling and safekeeping of records.
i
7
ACKNOWLEDGEMENT
The Records Management Office personnel would like to extend their special thanks to the
following for the conceptualization, visualization, preparation and realization of the PSU Records
Management Operations Manual as we introduce its first version:
Dr. Jeter S. Sespeñe, University President
Dr. Teresita L. Salva, former University President (retired)
Dr. Erlinda A. Ganapin, former Executive Vice-President (retired)
Professor Marilyn G. Pablico, Vice-President for Finance and Administration
Mr. Desditchado S. Villasario, former Vice-President for Financial Management (retired)
Dr. Lorna C. Gelito, Vice-President for Academic Affairs
Atty. Joselito C. Alisuag, Presidential Assistant for Special Projects and Concerns
Dr. Fe V. Ricon, Presidential Assistant for Campus and Institutional Development
Dr. Edgardo H. Castillo, former Vice-President for Research and Extension (retired)
Dr. Michael D. Pido, Vice-President for Research and Extension
Dr. Mary Allyson C. Liboro, Presidential Assistant for External Affairs and International Relations
Mr. Noli C. Corpuz, former University and Board Secretary (retired)
Mr. Crisostomo M. Biolena Jr., University and Board Secretary
Dr. Elucila M. Sespeñe, Director, Public Relations, Information and Media Office
Ms. Lourdes C. Salvador, University Librarian
Prof. Thelma S. Casanova, University Registrar
The Staff, Public Relations, Information and Media Office (PRIMO)
Fellow workers and colleagues
8
CHAPTER I
TITLE AND GENERAL PROVISIONS
Section 1 -
Title
This Manual shall be known as the Palawan State University (PSU) Records Management
Office Operations Manual.
Section 2 -
Records Management Office Policy Statement
The Records Officer and his/her staff shall be responsible in the implementation of a sound,
systematic, effective and functional records management program within the organization. The
preparation of the PSU Records Management Operations Manual aims to develop and to improve to
a high quality, the delivery of records management services to the University.
Section 3 -
Records Management (Defined)
It is the application of the systematic and scientific control of recorded information required in
the operation of the agency’s transactions. It involves the following:
Creation
Storage
Use
Retrieval
Section 4 -
Transmission
Protection
Retention
Preservation
Maintenance
Disposition of records
Basic Functions of Records Management
1. Programs the record’s life cycle
2. Ensures improved quality of information dissemination
3. Aids the top management in its functions
4. Maintains and adopt effective techniques in controlling forms, reports, correspondence
and related paper work operations.
5. Maintains functional retention and storage areas for documents under custody.
9
Section 5 -
Flow of a Functional Records Management System
1. Records originate internally/externally from mail, word processing systems, electronic
mail, fax transmission and other related means.
2. Records are transmitted to offices, divisions, units, sections and departments for action
or information.
3. Records are filed in a system and equipment which will provide quick access and effective
control of records at all times.
4. Records are properly and systematically appraised to determine their value for the
purpose of establishing a retention schedule to indicate how long the specified records
are to remain in active status and which records are to be segregated on its inactive
status.
5. Records to be transferred should be properly documented for easy access and retrieval.
6. Records are to be checked at the Records Management Office to be recommended for
disposal when no longer needed.
7. Records are destroyed and disposed in accordance with the existing rules and
regulations set by the authorized agency of the government.
Section 6 -
Scope of the Records Management Program
1. The Records Management Program strives to achieve an efficient, functional and orderly
flow and dissemination of proper information within the organization. The Program aids
the different phases of decision making of the top management in the processes of various
official functions and concerns.
2. As an integral part of the management process, a well-designed and a functional records
management program supports the top management in planning, organizing and
communicating. The Program ensures that the records are handled, controlled and
maintained systematically.
10
Section 7 -
Basic Steps for the Proper Execution and Control of the Records Management
System
1. Formulation of a responsive records classification system to provide basic organization
structure for the control of records and information.
2. Provision of appropriate filing equipment and supplies to properly and effectively hold and
control records for easy retrieval and quick access.
3. Formulation of plans and procedures for the systematic and efficient handling of records
and information.
4. Implementation of a Records Retention Schedule (RRS) to determine the period records
are to be retained in active/current and inactive/non-current files and in a Records Center.
5. Formulation of written procedures for the transfer of records from active/current to
inactive/non-current storage areas including the disposal of records that have already
served their retention periods and are no longer needed.
Section 8 - Essential Elements of a Complete Records Management Program
1. Systematic control over creating, handling, processing, filing, storing, retrieving and
disposing of business information in different forms (electronic, paper, magnetic, optical,
microfilms, audio tapes, videotapes and other related kinds).
2. Adequate evidence (records) of official business activities needed to document accurately
and to protect legally the interests of the agency, its personnel and its clients.
3. Functional office policies and procedures for accurate identification, storage, retrieval and
retention of records under custody.
4. Systematic and accurate distribution and access to records used in current and day-to-day
operations with discreet and careful control over confidential information.
5. Formulation of a disaster recovery plan for the protection of records from unauthorized
access, loss and disaster.
11
6. Formulation of a records inventory and appraisal process for records retention.
7. Implementation of cost measures, efficiency and performance evaluation of personnel,
proper office location and space use and supplies and equipment needs.
8. Trainings, conferences, conventions, workshops and seminars to familiarize and to update
concerned personnel with the records management program.
Section 9 -
Purposes of Records Management
1. To create records necessary for the efficient and successful operation of the organization.
2. To provide records when requested and to retain them as long as needed.
3. To save records needed for the continuous operation of the organization and to dispose
those that are no longer needed.
Section 10 -
The Concepts of Records Management
1. Filing Concept - “Filing” is the placing of records into proper containers for the easy and
quick retrieval.
2. Records Retention Conceptfollowing:
a.
b.
c.
d.
e.
A concept of records management that considers the
Filed material as necessary piece of information
Integration of files in an organization-wide basis
Makes essential information easily accessible
Early disposal of worthless/valueless paper
Facilitates control of forms
3. Paper Work Management Concept Paperwork signifies a very broad area of paper
handling. It concerns with the movement of records from receipt to storage until the final
disposal.
4. Records Control Activities Concept This concept concerns almost all phases of office
activities as part of the records management functions.
12
Section 11 -
The Goals of the Records Management Program
1. The Program strives to achieve an orderly, systematic and efficient flow of communication
throughout the organization which provides necessary information in the form needed to
facilitate the process of decision-making concerns within the agency.
2. A well-designed and a well-implemented records management program supports the
agency’s management processes of planning, organizing, controlling and communicating.
Section 12 1.
2.
Phases of Records Management
Records Creation
- the act of bringing the records into existence to appropriately
document the agency’s functions, policies and procedures,
decisions and essential transactions in the operation of the
agency.
Records Maintenance and Use - is the process of records management that includes
systematic handling, arrangement of written materials in a
functional filing sequence and the selection of an appropriate
type of filing dockets and storage equipment.
3. Records Disposition
- is the systematic transfer of non-current records from an
office to any records storage area, the identification and
preservation of permanent records and the disposal of
valueless records.
13
RECORDS LIFE CYCLE DIAGRAM
Records
Creation
Records
Maintanance
and Use
Records
Disposition
14
Section 13-
Categories of Value of Records
 TIME VALUE - refers to the specific period of usefulness of records.
a. Temporary -
when the records have served the purposes for
which they were created or when action on them have been
accomplished and terminated.
b. Permanent-
When the records have administrative, legal,
archival, research or historical significance and are worthy for
preserving.
 UTILITY VALUE -
refers to the nature of the usefulness of the records to
the agency’s operations.
a. Administrative-
records value that is determined by their
use as administrative tools in accomplishing the administrative
concerns of an agency to carry out its functions and
responsibilities.
b. Fiscal
-
records value that is determined by their use to
discharge the financial obligations of the agency.
c. Legal
-
records value expressing legal decisions and
opinions, records that generally give protection of the civil, legal,
property and rights of an individual.
d. Archival
-
records value that reflects significant historical
events or historical documentations that could be used as basis
for research.
e. Historical -
records value that provides complete records of
the past and current activities. This could be referred to the
policies, plans, rules and procedures which the organization
adapted to preserve its institutional memories.
15
f. Research -
Section 14 -
records value that provides actual or potential
usefulness for studies of methods, operations, data on
experience and investigation for use in the conduct of
researches.
Functions of the Records Management Office
1. Establishes and maintains a systematic records management program for the University in
an orderly, efficient, effective and economical manner.
2. Implements the records management program, its policies and procedures in the creation,
maintenance and disposition of records.
3. Receives releases, sends out mail, disseminates and distributes all official communications
with prompt dispatch to the concerned offices and action officers of the University and to
the different agencies in accordance with the functional policies and office procedures.
4. Disposes records that have already reached their retention periods and are assessed and
appraised to be valueless in accordance with the existing rules, regulations and laws on
records disposal set by the authorized government agency.
5. Monitors and evaluates the functional records management program being
implemented.
Section 15 -
Duties and Responsibilities of the Records Management Office Personnel
1. Administrative Officer V
(Records Officer III)
a) Coordinates, directs and supervises the functions and activities of the Records
Management Office.
b) Assumes full responsibility over the custody and safekeeping of the official records and
documents of the University and authorizes issuance thereof.
c) Prepares and updates functional policies and office procedures.
16
d) Makes decisions in accordance with the established policies and office procedures.
e) Establishes and maintains an active continuing program for the management,
preservation and disposition of records.
f) Assigns work, issues written and verbal instructions and reviews accomplished work of
records office personnel for its accuracy and in conformity with the existing policies and
procedures.
g) In-charge in the preparation of Records Disposition Schedule (RDS) and Records
Disposal (RD).
h) Prepares annual and other required reports.
i) Authenticates copies of documents.
j) Attends personally to important and urgent matters.
k) Does other related tasks.
2. Administrative Aide IV
Records Custodian II – designee
a) In-charge of Documents Coding and File Classification following the File Classification
Scheme being implemented in the workplace.
b) Sets new file categories, checks and classifies official communications for releasing,
sorting, coding and filing.
c) Assumes responsibility over the custody and safekeeping of official records and
documents.
d) Performs variety of skilled clerical tasks such as receiving, processing and assigning of
correspondence.
e) Follows written instructions and reviews accomplished work for its accuracy and in
conformity with the office policies and procedures.
17
f) Assists in establishing and maintaining an active continuing program for the
management, preservation and disposition of records.
g) Authenticates copies of documents.
h) Assists in the preparation of annual inventory and appraisal of records.
i) Assists in the preparation of annual and other required reports.
j) Attends personally to important and urgent matters.
k) Does other related tasks.
3. Administrative Aide
Records Custodian I - designee
a) Serves as frontline office assistant.
b) Performs variety of skilled clerical tasks such as receiving, controlling, processing and
assigning of correspondence.
c) In-charge of incoming communications, manages documents to be classified, coded,
filed and retrieved.
d) Assists in establishing and maintaining an active continuing program for the
management, preservation and disposition of records.
e) Follows written instructions and reviews accomplished work for its accuracy and in
conformity with policies and procedures.
f) Performs tasks and responsibilities as assigned by immediate superiors from time to
time.
g) Assists the records officer and co-staff in the performance of records management
functions.
h) Does other related tasks.
18
4. Administrative Aide
Records Assistant I I – designee
a) In-charge of data encoding.
b) Prepares summary of contents of files in every folder (current/active and non-current
records/inactive).
c) Assists in the Documents Coding and File Classification following the File Classification
Scheme being implemented in the workplace.
d) Assists in the preparation of Records Disposition Schedule (RDS) and Records Disposal
(RD)
e) Encodes records series of files for inventory and disposition.
f) Assists in the preparation of annual and required reports.
g) Assists the records officer and co-staff in the performance of records management
functions.
h) Does other related tasks.
5. Administrative Aide
Records Assistant I – designee
a) Performs variety of skilled clerical tasks such as receiving, processing and assigning of
correspondence.
b) In-charge of copy and reproduction.
c) Assists in the preparation of annual inventory of records.
d) Follows written instructions and reviews accomplished work for its accuracy and in
conformity with policies and procedures.
19
e) Performs tasks and responsibilities assigned by immediate superiors from time to
time.
f) Assists in the accession, reference, and disposal of records and other activities of the
section.
g) Determines the need of the section as to supplies and equipment.
h) Does other related tasks.
6. Administrative Aide
Records Liaison - designee
a) Serves as frontline office assistant.
b) Receives, controls and processes outgoing communications.
c) Claims and receives mail and documents from the Postal Services, offices, agencies,
couriers and forwarders.
d) Sorts mail as to official, personal, confidential and private.
e) Delivers, sends mail and official documents to the Postal Services, offices, different
agencies, couriers and forwarders.
f)
Stamps, records and processes mail and documents.
g) Assists in other messenger’s work.
h) Performs tasks and responsibilities assigned by immediate superiors from time to
time.
i)
Does other related tasks.
20
7. Administrative Aide II
Messenger
a) Performs general messenger’s work.
b) Records and delivers communications, documents, mail, parcels and packages to the
different divisions, departments, units, sections and action officers of the University.
c) Runs errands, performs clerical tasks such as filing cards, sorts mail, and secures stocks
and office supplies.
d) Performs specified duties and responsibilities.
e) Performs tasks and responsibilities assigned by immediate superiors from time to time.
f) Does other related tasks.
Section 16 -
Records Management Office Organizational
Structure and Flow Charts
21
DIVISION CHART
Administrative Division
(Extracted from the University’s amended Organizational Structure as
approved by the PSU Board of Regents thru Resolution No. 69, S. 2012, 163rd
Board of Regents Meeting, September 4, 2012).
Vice President for Personnel
and Administration
Human Resource
Management
RECORDS
Health Services
Construction and
Maintenance Services
Audio-Visual
Motorpool
Electrical Services
Architectural and
Design Office
Security Services
General Services Office
Klik Station
Information and
Communication Technology
SECTION’S CHART
RECORDS MANAGEMENT OFFICE
22
Administrative Officer V
(Records Officer III)
Administrative
Administrative
Aide
Aide IV
(Records
Custodian II)
In-charge of
documents
coding, file
classification,
records
disposal,
reports and
other related
services
(Records
Custodian I)
Administrative
Aide
Administrative
Aide
Administrative
Aide
(Records
Assistant II)
(Records
Assistant I)
(Records
Liaison)
Administrative
Aide II
(Messenger)
In-charge
of
In-charge of
In-charge of
In-charge of
In-charge of
outgoing
copy and
data encoding,
mail
sorting,
incoming
communicareproduction,
prepares
dispatching of
communications,
takes charge of
summary of
processed
tions,
of the section's releasing, mail documents,
contents of
performs
services,
need for
files for current
recording and
variety of
tracking
&
supplies &
and nonreproduction
skilled clerical
dispatching of
current records equipment and
and other
job and other
documents
other related
and other
related
related
and other
services
related
services
services
related
services
services
FUNCTIONAL CHART
RECORDS MANAGEMENT OFFICE
23
RECORDS OFFICER
1. Exercises overall supervision of the Office.
2. Certifies authenticity of documents.
3. Prepares accomplishment reports.
4. Evaluates performance of staff.
5. Delegates duties and responsibilities of staff.
Messenger/ Liaison/
Copy & Reproduction
Section
1. Provides internal and
external messenger
services.
1. Receiving incoming
communications.
1. Inventories of noncurrent records.
2. Releasing outgoing
communications.
2. Provides related
services in records
disposal in accordance
with Records Disposition
Schedule.
3. In-charge of file room.
2. Copy and reproduction
services.
Non-current Records
Section
Current Records Section
3. Mail services.
4. Provides reference
services, authentication
and forms control.
4. Dispatching and
distribution.
5. Coding, classification,
filing and retrieval.
5. Related Services
6. Related Services
3. Coordinates with the
National Archives of the
Philippines on the Records
Disposal and its approval.
4. Related Services
DOCUMENTS FLOW CHART
24
STEP 1
RECORDS
CREATOR
STEP 2
Action Unit/s to which the
document is to be
forwarded
STEP 3
Back to the Records for
recording of action taken
and instruction/s.
STEP 4
Forward the document to
the next Action Unit
STEP 5
Back to the Records to
determine the individuals
to be given copies.
STEP 6
Reproduction of Copies
STEP 7
Distribution of copies to
the concerned
STEP 8
File Copy for classification
coding and filing
FILING FLOW CHART
25
Step 1 (Inspect)
Step 2 (Index/
Classify)
Step 4 (Crossreference)
Step 3 (Code)
Step 5 (Sort)
Step 6 (File)
26
RETRIEVAL FLOW CHART
Step 1 (Request of
Record)
Step 2 (Search/ locate for the
record)
Step 4 (Pull-out the file folder
from the docket/ file
cabinet/storage area)
Step 3 (Retrieve the file/
record)
Step 5 (Reproduce the record)
Step 6 (Release the record)
CHAPTER II
27
POLICIES AND PROCEDURES
Section 1
-
POLICIES
1. Strict observance of the “Secrecy of Communication” should be implemented at the
Records Management Office. The Records Management Office personnel are not allowed
to leak information on all communications and documents received and recorded.
2. The Records Management Office personnel are strictly not allowed to authenticate,
reproduce, circulate, release or give copies of documents to unauthorized individual
without authority or permission from the concerned or from the higher authorities of the
University.
3. All official correspondence and mail (in original copies) received through the Postal Services
Office, couriers, forwarders, fax, electronic mail and other related means should be
recorded at the Records Management Office to be routed to the concerned action officers.
4. Correspondence or mail addressed to the person with his/her designation or position title
in the agency could be opened and recorded. The cover or envelope of the
correspondence shall be attached to its content/s.
5. Correspondence or mail addressed personally to the official/employee, or bearing the
name of the official/employee together with his position title, should not be opened unless
authorized. Particulars on the cover/envelope shall be properly recorded.
6. Correspondence marked as "Confidential", "Personal and "Private" should not be
opened unless authorized. Particulars on the cover shall be properly recorded.
7. Correspondence or mail addressed to an official/employee bearing his/her official
designation below his/her name, name of office, and address of the agency could be
opened and recorded.
8.
Personal mail should be claimed at the Records Management Office by the concerned
or his/her authorized representative. “No Delivery” of personal mail by the University
Messenger.
28
9.
10.
Unclaimed personal mail from the Records Management Office should be returned
to the Postal Services Office after two (2) months without prior notice.
Mail addressed to students of the different colleges should be forwarded to the Office
of Student Affairs (OSA). “No delivery” of student-mail by the University Messenger.
11.
Issuances from the Office of the University President and from other university
officials should be processed, disseminated and/or circulated to the different offices,
departments, units and sections within the day and without delays.
12.
Official correspondence for the University officials should be coursed through the
Records Management Office for stamping “Received” or “Official Release”.
13.
A photocopy of document could serve as a reference only and NOT VALID
FOR PROCESSING. Only the ORIGINAL copy of document should be officially stamped
“Received” or “Official Release” and to be forwarded to the concerned University
official/s and action officers.
14.
Official correspondence stamped “Received” or “Official Release” could also be
directly delivered, forwarded or hand-carried to the concerned University officials and
action officers upon the option of the bearer.
15.
Transmittal/cover letter without the signature of the sender and /or representing
body/individual for documents with corresponding attachments should not be
stamped official “Received” and/or “Official Release”.
16.
A document or letter for mailing should be determined as to official or personal. Only
the official mail should be provided with stamps by the in-charge of mail services of
the Records Management Office.
17.
The Records Management Office should always keep a copy or copies of official
correspondence received with complete action taken for its “File” or “Official File”
(usually the original copy). The file copy/copies may or may not have the necessary
attachments. Notations and action taken should also be properly recorded.
18.
Whole folders of correspondence are not allowed to be issued by the Records
personnel to any requesting parties. Only the specific document being requested by
29
the concerned or his/her authorized representative should be pulled-out from the
folder to be returned immediately after reproduction.
19.
A logbook/tracer should be provided to record incoming correspondence, indicating
the correspondence number, date, sender, subject matter and the initial of the
receiving personnel. Action taken must be recorded under the column “Remarks” in
the logbook/tracer.
20.
The date of receipt of the correspondence in original copy should be stamped on the
top right portion of the document indicating the date, control number, initial of the
receiving personnel and the time whenever necessary and applicable.
21.
Correspondence to be released should be properly recorded in the logbook for
outgoing communications stating the correspondence number, date, addressee,
subject matter, means of sending, total denominations of stamps used if sent through
mail or official receipts as proof if sent through courier/forwarders.
22.
Correspondence released should be stamped at the top right portion of the document,
indicating the date, control number and initial of the releasing personnel;
23.
Disposal of records that are already appraised and have reached their retention
periods should be done upon the approval of the University’s request from the
National Archives of the Philippines (NAP).
24.
No “Back Log” policy – all transactions within the day are processed.
25.
Only authorized personnel of the Records Management Office should be allowed to
retrieve and to pull-out files and folders on the dockets and storage cabinets.
26.
The Records Officer or his/her authorized designee should be the one to certify
documents being requested. Only verified documents ON FILE should be
authenticated. The documents could be stamped as: (whichever is applicable)
a. “CERTIFIED COPY”
b. “PHOTOCOPIED FROM RECORDS ON FILE”
c. “VERIFIED TRUE COPY FROM THE ORIGINAL COPY PRESENTED”
30
27. Requests for copies of confidential records, legal documents, records involving criminal,
civil and administrative proceedings, and other related official documents and
administrative issuances should be approved by the University President or his/her
authorized designee whenever necessary. The above-said records could be subject to
restrictions due to the sensitive nature of information contained on the documents. The
concerned official/employee/signatory, requesting party or his/her authorized
representative should state the reason why the documents are needed and for what
particular purposes. The documents shall be assessed for certain service fees whenever
necessary or applicable.
28.
All personnel of the Records Management Office should be responsible for
the safeguarding of documents to prevent unauthorized access. They are not
allowed to leave the documents and files in public view.
29.
The Records Officer should always be accountable and responsible for the safekeeping
of all records and documents under the custody of the Records Management Office.
Section 2
-
RECEIVING OF CORRESPONDENCE, MAIL
MANAGEMENT AND MESSENGER’S SERVICES
1.
Incoming mail claimed by the University Messenger from the Postal Services Office,
messengers of couriers/forwarders should be forwarded to the Records Management
Office.
2.
Mail should be properly sorted to separate the official from the personal mail.
3.
The Messenger should be the one in-charge for the delivery of official mail to the
different offices and university officials concerned.
4.
5.
Official mail and correspondence should be opened and stamped “Received”.
The date of receipt of the correspondence in original copy should be stamped on the
top right portion of the document indicating the date, control number, initial of the
receiving personnel and the time whenever necessary and applicable.
Official documents should be recorded in the logbook to be routed to the proper
action officers and to be acknowledged by the concerned official or the receiving office
personnel.
31
6.
7.
The receiving personnel of the Records Management Office should check on the
following before stamping and affixing his/her initial on the documents being received:
a.
Documents should be in original copies;
b.
Correct name and complete address of the addressee.
c.
Documents are properly signed by the
senders/endorsing officials;
d.
Complete number of sheets/pages of document/s;
e.
Complete enclosures and attachments
mentioned in the basic communication;
f.
All enclosures and attachments must be
stamped “Received”.
Mail with wrong name of addressees and incorrect addresses from the postal
services office, couriers or forwarders should not be received by the Messenger or the
receiving personnel of the Records Management Office. In the same case if the
addressee is no longer connected with the University, said mail should be returned to
the Postal Services Office, couriers or forwarders.
8.
Documents assessed and appraised to have corresponding restrictions should be
consulted/referred to the University President, his/her Legal Counsel and/or his/her
authorized representative/designee before stamping “ RECEIVED”.
9.
10.
Private or personal mail should be claimed by the concerned or the office in-charge
of the different colleges, departments, units and sections at the Records Management
Office.
Mail with legal concerns and restrictions should be referred to the Office of the
University President or his/her authorized designee and/or to the University’s Legal
Counsel whenever necessary before receiving and stamping “Received” by the
receiving personnel in-charge.
11.
Communications to be routed “through channels” should always be in original
32
copies including the corresponding endorsements, attachments and/or actions
taken.
12.
Photocopies of incoming official correspondence addressed directly to concerned
university officials and/or through channels are NOT VALID for processing. Said
photocopies could serve as reference only. Only the ORIGINAL documents should be
coursed to the addressees or concerned university officials and/or action officers.
13.
For correspondence with separate sheets of endorsement/s, all sheets should be
stamped “Received” together with the basic communication, cover letter or
transmittal. All copies should be ORIGINAL. Endorsing officials and/or action officers
could also maximize the blank spaces left on the endorsement sheet to avoid the use of
additional paper.
14
Mail to be sent through “Registered Mail” should be attached with “Registry
Return Cards/Receipts”.
15.
Registry receipts should be forwarded to the in-charge of the mail services for
attachment to the document/s and for entry in the logbook.
16.
The personnel in charge of receiving the official communications, mail,
administrative issuances and other related documents dispatched and delivered by
the University Messenger to the addressees and different action officers are always
assumed to be responsible for the proper handling of the documents he/she received.
The documents should be forwarded immediately to the concerned University official
for the action to be taken.
17. Official issuances, communications and other related official documents with action
taken by the concerned University officials and action officers should be
returned/forwarded to the Records Management Office for processing and proper
dispatching.
18. Personal Registered mail with notice/s should be claimed by the person
concerned or his/her authorized representative at the Postal Services Office. Only
the official registered mail should be claimed by the Messenger.
19.
Documents to be sent through mail, couriers and forwarders without transmittal or
cover letter could be forwarded to the Records Office already sealed in an envelope
33
properly addressed and ready for sending/mailing. In case when transmittal is
provided, the releasing personnel should have the cover letter stamped “Official
Release”. The releasing personnel should have the document/s properly processed
for sending/mailing.
20.
21.
Document/s being sent or transmitted through Fax machines could be
photocopied at the office where the document was received to be forwarded to the
Records Office for recording and routing. (Note: some fax machines print documents
on thermal paper, where the text contents easily fade).
For sealed or unsealed documents from individuals, outside agencies and offices
being hand-carried by an authorized person for the University head and with
separate copies and/or copy furnished for the other university officials, the receiving
personnel of the Records Management Office should only receive the document
intended and officially addressed for the University head. The receiving personnel is
not allowed to receive the documents intended for the other addressees unless
authorized.
22.
Copies of documents that did not passed through the Records Office for
“Official
RELEASE” or “RECEIVED” shall be accepted and shall serve as “Copy/Copies as File”.
The documents should be stamped “Received” with no correspondence number but
with the date and initial of the receiving personnel.
23.
Routing slips and notes originating from the different offices of the University which
are being attached to the documents should always bear the signature of
the concerned University officials. Routing slips and notes without signature/s are
not valid for processing. The receiving personnel should have the signed routing
slips/notes stamped “Received”.
24.
Incoming correspondence dated in advance or post dated should be stamped
“Received” on the date indicated on the document.
25.
Documents that did not passed through the Records Office but had already acted
upon by University officials should be stamped on the date when the documents are
forwarded to the Records Office.
34
INCOMING CORRESPONDENCE FORM
CORR.
NO.
Section 3 -
DATE
FROMWHOM
NATURE
RECEIVER
REMARKS
RELEASING OF CORRESPONDENCE AND DOCUMENTS
1.
Correspondence to be received at the Records Management Office should always be
in three (3) copies. As much as possible all copies are ORIGINAL.
2.
All copies should be stamped "Official Release", dated, numbered, and initialed by
the releasing personnel.
3.
The originating office should specify the service desired whether the outgoing
correspondence is for messenger service, personal delivery, postal, courier, fax,
electronic-mail sending or other related means.
4.
Documents classified as messenger’s service should be delivered immediately to the
official concerned. The office personnel in-charge should acknowledge receipt on the
receiving copy or logbook of the Records Management Office.
5.
Official documents released for mailing should be affixed with stamps.
Denominations of stamps used should be recorded in the logbook for outgoing
correspondence.
Request for a second copy, photocopy, authenticated or certified copy/copies of
document and/or set of documents requires a service fee of P50.00 whenever
necessary or applicable. The service fee was approved by the University Board of
Regents under Board Resolution No. 52, S. 2007.
6.
35
RMO Form
Sept 2012
RECORDS MANAGEMENT OFFICE
DOCUMENT/S AUTHENTICATION SLIP
(BOR Res. No. 52, S. 2007 -Service Fee/s
to be paid at the PSU Cashier)
Official/Employee:__________________________________
Total No. of Sheet/s: ___________
Total No. of Set/s: ___________
Appraised/Verified by:_____________________________
Service Fee:
P________
O.R. No.: _________________
Date: _____________________
7.
Outgoing official issuances from the University President, officers of the different
colleges, offices, sections, units and departments of the University such as
memoranda, advisories, administrative/office orders, travel orders and other related
issuances should be received at the Records Management Office with complete “copy
furnished” copies and/or attachments as stated in the basic communication.
8.
Documents assessed and appraised to have corresponding restrictions should be
consulted/referred to the University President, his/her Legal Counsel or his/her authorized
representative/designee before stamping “RECEIVED” or “ OFFICIAL RELEASE”.
9.
In cases of rush and urgent issuances/advisories such as, memoranda, notices of
meeting, advisories, letter-invitations and other related issuances from the officials of
the different offices of the University, the office personnel in-charge from which the
issuance originated could also help assist in the dissemination of advance
information (by phone calls, text messages, electronic mail, fax transmissions and other
related means) to be always followed by the delivery of copies to the concerned
officials through messenger’s service of the Records Management Office. This
suggested measure is to avoid unnecessary delays and to facilitate the fast flow of
communication due to the time element involved that should also be considered.
36
10.
Outgoing correspondence dated in advance or post dated should be stamped
“Official Release” on the date indicated on the document.
11.
Official documents forwarded to the Records Management Office after 4:00
p.m. shall be processed as to priorities and whenever necessary to be considered
for the next day transaction except for RUSH issuances.
OUTGOING CORRESPONDENCE FORM
CORR.
NO.
DATE
Section 4
1.
FORWHOM
-
NATURE
SENDER
REMARKS
RELATED SERVICES
Provides Retention Codes for classified documents on dockets and storage cabinets to
determine the retention periods of each record series and for the easy access on records
inventory process;
37
2.
Updates of Records Series based on File Classification Scheme and File Classification
Guide being implemented by the Records Management Office;
3.
Updates of the Annual Inventory of records under custody;
4.
Prepares the annual Timetable and Work Plan for the proposals and projects of the
Records Management Office;
5.
Prepares the Detailed Operational Plan and Medium-Term Development Plan of the
Section;
6.
Requests approval from the University’s higher authorities in connection with the
sending-off of participants to trainings, workshops, seminars and conventions on
Records Management in the local, national and international levels;
7.
Disseminates information and updates to the different offices, departments, units and
sections of the University regarding invitations received from the different agencies in the
local, national and international levels on trainings, seminar-workshops and conventions
relevant to records management;
8.
Requests approval from the University’s higher authorities in connection with the
conduct of trainings, lectures and briefings and disseminating of information and updates
to the different colleges, departments, units and sections of the University relevant to
Records Management’s programs and activities;
9.
Requests and invites personnel and employees who have gone into different trainings to
serve as trainers and facilitators on applicable and selected topics on Records
Management during trainings, lectures and briefings;
10. In-charge in the preparation of training presentations, modules, kits and certificates in
coordination with the Public Relations, Information and Media Office (PRIMO) of the
University;
11. In-charge in the preparation of proposals for every scheduled training/s, lectures and
briefings;
12. Other related services.
38
Section 5
1.
- REQUESTS FOR OFFICIAL RECORDS
Request for copy/copies of official documents should be made by the person concerned
or his/her authorized representative. The request should be addressed to the University
President or his/her authorized designee for approval stating the reason why the
documents are needed and for what particular purpose.
2.
Request for copies of documents needed for official purposes by the different
colleges/units/sections/departments of the University requires a letter-request and/or
authorization from the official/s concerned or requesting parties. The request should be
addressed to the University President or his/her authorized designee for approval stating
why the documents are needed and for what particular purpose.
3.
A corresponding Service Fee shall be charged for copy/copies or set of documents
whenever necessary and applicable in accordance with the resolution approved by the
Board of Regents. Said fee shall be paid at the University Cashier before the release of the
requested document or set of documents.
4.
In lieu of a written request, requesting officials/employees could fill-up a Document/s
Requisition Slip (DRS) available and being issued by the Records Management Office for
approval of the University President or his/her authorized designee. Approved DRS should
be forwarded to the Records Management Office before the documents being requested
could be released.
5.
Documents being requested by courts/judiciaries should be referred to the University
Head, his/her authorized designee or to the University’s Legal Counsel before the
documents could be released.
RMO Form No. 001
Sept 2009 (Revised Dec 2011)
Republic of the Philippines
PALAWAN STATE UNIVERSITY
Puerto Princesa City
RECORDS MANAGEMENT OFFICE
39
DOCUMENTS REQUISITION SLIP
(for PSU officials/employees only)
DESCRIPTION OF RECORDS/DOCUMENTS: ( legal documents, records involving criminal, civil and administrative proceedings,
confidential records and files subject to restrictions,
research, fiscal, historical and
documents/issuances, and other related official issuances)
archival documents, administrative
__________________________________________________________________________________
__________________________________________________________________________________
PURPOSE/S: _______________________________________________________________________
OTHER PARTICULARS: ______________________________________________________________
NAME OF REQUESTING OFFICIAL: ______________________________________________________
SIGNATURE OF REQUESTING OFFICIAL: _________________________________________________
DATE OF REQUEST:
________________________________
ACTION TAKEN: ( ) APPROVED
( ) DISAPPROVED
__________________________
University President
{
{
{
{
}
}
}
}
Retrieval/Copy & Reproduction
Authentication
Appraised w/ Service Fee
Appraised w/o Service Fee
O.R. No. and Date:_____________________
Amount Paid: P____________
CHAPTER III
PROGRAMS AND OBJECTIVES OF THE RECORDS MANAGEMENT OFFICE
Section 1-
RECORDS APPRAISAL PROGRAM
40
Continuous implementation of the functional appraisal of records by
determining their utility values such as administrative, legal, fiscal, historical, archival
and research values.
Section 2 -
RECORDS INVENTORY PROGRAM
Continuous implementation of the functional and complete inventory of
records after the end of the year and/or during the first quarter of the following year in
order to determine and to appraise records that have already reached their retention
periods and which can be recommended for final disposal.
Section 3 -
RECORDS DISPOSAL PROGRAM
Completion of the final listing of all record holdings of the University that have
already reached their retention periods in compliance with the requirements of the
National Archives of the Philippines (NAP) on the General Records Disposition Schedule
(GRDS) as provided in the R.A. 9470, otherwise known as the National Archives of the
Philippines Act of 2007.
Section 4-
RECORDS MAINTENANCE PROGRAM
Continuous implementation of a functional, orderly and systematic control on
the proper access to all documents or record holdings under the custody of the
Records Management Office thereby providing a total and consolidated security over
the University’s records.
Section 5 -
RECORDS RETENTION PROGRAM
Continuous implementation of a functional records retention schedule for
records to be retained on its active/current status, segregation of records on its
inactive/non-current status and transferring of records series that had already reached
their retention periods to a designated Records Center or storage area and the
preservation of archival and historical records.
Section 6-
FILING SCHEME CLASSIFICATION PROGRAM
41
Implementation of a functional File Classification Scheme/Guide for all types of
records.
Section 7 -
RECORDS AUTHENTICATION SERVICES PROGRAM
Implementation of an appropriate authentication for various types of records
based on the functional policies and procedures of the Records Management Office.
Section 8 -
STAFF TRAINING AND DEVELOPMENT PROGRAM
Attendance of personnel handling records to seminar-workshops,
conventions and trainings on records management in the local, national and
international levels.
Section 9-
LAKBAY- ARAL PROGRAM
Exposing the personnel handling records by having familiarization visits and
trips to the different universities and colleges, Philippine historical landmarks, libraries
and museums, local and national agencies for the purpose of educational exposures
and in order to develop their skills and learning experiences on the different phases of
records management that could possibly be adapted to their respective workplaces.
Section 10 -
OUTREACH TRAINING PROGRAM
Conducting series of mini-lectures, briefings and university-wide information
campaigns to target clienteles of the main campus, southern and northern community
resource development campuses of the University relevant to records management
concerns and updates.
Section 11 -
ECHO-TRAINING PROGRAM
Conducting series of scheduled echo-trainings on records management
relevant to the different topics concerning the systematic approaches on the proper
handling, protection and management of records.
42
Section 12 -
PHYSICAL PLAN AND FACILITIES IMPROVEMENT PROGRAM
A program which aims to:
a. Provide a closed-door documents processing area for documents security;
b. Provide a secured receiving and releasing documents’ counters;
c. Provide a Records and Archives Center for the transfer of non- current/inactive
records, legal and archival/historical items and documents;
d. Provide a Training Room with complete equipment and facilities for the
lectures and briefings for the personnel handling records;
e. Provide other equipment and facilities whenever needed and necessary.
Section 13-
COMMUNICATION EQUIPMENT PROCUREMENT PROGRAM
A program which aims to provide communication equipment and gadgets for
the fast flow of services without delays on the daily operations of the office such as fax
machines, landline and mobile phones.
Section 14-
DOCUMENTATION EQUIPMENT PROCUREMENT PROGRAM
A program which aims to provide documentation equipment for the outreach
program of the Records Management Office such as desk top and laptop computers,
LCD projector, white screen, scanner, wireless microphones, digital camera, electronic
dating and numbering machine and other needed equipment whenever necessary.
Section 15 -
RECORDS COMPUTERIZATION PROGRAM
A future program for proposal which aims to provide and to implement a
computerized/automated records through an Electronic Management Strategy
designed as the Document Tracking (DT) for the easy access, tracking and retrieval of
43
documents with the PSU Records Management Office as the core implementing unit
with the support of the top management of the University.
CHAPTER IV
CLASSIFICATION AND FILING
44
Section 1
-
Classification and Filing
Classification is a process of identifying, analyzing and arranging records systematically.
Collection of papers having similar subject matter should be logically separated from groups having
different topics.
Filing is the keeping of papers or documents under a uniform filing classification scheme so that
any record or document when required can be located quickly and conveniently.
Section 2 - Uniform Filing Classification Scheme
The Records Management Office is implementing the Functional Alpha Numeric
Classification Scheme. In the functional alpha numeric classification scheme, records are arranged
with a combination of alphabetical and numerical system of filing.
Section 3 -
Procedures in Filing
1. Inspecting
a) Read and analyze the content of the documents
b) Check the completeness of the documents as to:




Signature
Attachments/Annexes
Number of Pages
Received/Released Stamp Marks
2. Indexing or Classifying
Determining the name or code that is to be used based on the File Classification
Guide being implemented.
45
3. Coding
a) Marking of the documents on the upper right corner of the paper using a pencil to
indicate its code, sequence and the proper placement in the File;
b) Proper, careful and consistent use of codes on the documents;
c) Confirming that the coding has been done correctly;
4. Cross-referencing
a) Putting a proper cross-reference notation into the file in order to show that the
record is not stored in the regular file.
5. Sorting
 Arranging of records systematically in proper order
6. Filing Steps
a) Remove paper clips from records to be filed
b) Staple all related records together on the upper left hand corner to avoid insertion
or loss of pages.
c) Mend torn papers before filing.
d) Re-file chronologically the records taken out from the folder.
Section 4
-
Pointers in Filing
1. Centralized control but decentralized location of physical files for easy access and retrieval;
46
2. All official files shall be filed according to the functional classification scheme being
implemented;
3. All official files shall be classified/cross-referenced and filed according to subject matter;
4. Issuances shall be filed numerically, bound and labeled by year;
5. Legal documents and decided cases shall be kept and filed in a separate docket or file
cabinets.
6. Every file folder shall have a summary of contents after the file break.
Section 5
-
Servicing with Files and Records Retrieval
The Records Officer or his/her authorized personnel should have the access to official records
and files. In case of legal and confidential records, approval of the University President or his/her
authorized designee, and/or the University’s Legal Counsel is required.
1. Only authorized personnel of the Records Management Office are allowed to retrieve, pullout, reproduce and release copies of documents being requested.
2. The requesting party must state the nature of the document, key words (ex. date, month,
year, document number, contents, etc.) to serve as guide for the retrieving personnel.
3. The retrieving personnel should be held responsible in the proper handling of pulled-out
documents from the folders, dockets and storage areas.
CHAPTER V
POLICY STATEMENTS ON HANDLING RECORDS
47
Section 1
-
Access to Official Records
The Records Management Office (RMO) recognizes the vital role of
communications and the importance of information in the University. The office
adopts and implements policies and procedures relevant to the functions of the
Records Management Office towards an effective, systematic, developed and
organized program which will adhere to the mission and vision of the University.
Section 2
-
Incoming Mail and Correspondence
As authorized by the University President or his/her authorized designee, the
Records Officer or his/her authorized representative should be the one responsible in
the opening of mail addressed to the University Officials except for personal mail or
those marked as “Private”, “Personal” and “Confidential” which should be properly
recorded and which should be delivered without delays to the addressees and
concerned units.
Section 3
-
Outgoing Communications
The Records Management Office personnel should be responsible for the
processing of outgoing communications in accordance with the existing and functional
policies and procedures to include its classification, mode of dispatch and other control
processes.
Section 4
-
Messenger Services
The Records Management Office should provide internal and external
messenger services. It shall see to it that allofficial communications should be delivered
to the addressees, concerned officials and action officers within the day’s business
hours and without delays.
Section 5
-
Issuances
48
The Records Management Office personnel should always be responsible in
the proper handling and processing of signed official issuances and directives in
accordance with the functional and existing office policies and procedures.
Section 6
-
Secrecy of Communication
Strict observance of the “Secrecy of Communication” should be implemented
at the Records Management Office. The Records Management Office personnel are
not allowed to leak information on all communicationsand documents received and
recorded.
CHAPTER VI
49
ACCESS TO OFFICIAL RECORDS
Section 1
-
Office Rules on Requests for Information and
Access to Official Records
1. The head of the Records Management Office should ascertain that the giving of
information and access to records and documents, including the furnishing of
copies :
a) Shall not constitute violations of Article 229 and 230 of the Revised Penal Code
and revelation of secrets, laws on trade and commercial secrets, secrecy of
bank deposits, and anti-graft and corrupt practices acts.
b) Shall not constitute violation of confidentiality of records in administrative and
legal cases.
2. Whenever necessary and applicable, requests for copies of documents to be
retrieved should seek the approval of the higher authorities of the University,
his/her authorized designee, the head of the division concerned or the University’s
Legal Counsel. The requesting party shall state the reason why the documents are
needed and for what particular purpose.
3. The reproduction of records and documents and the furnishing of copies should be
made at the expense of the requesting party. Custody of the records or documents
should not be relinquished by any of the Records personnel to the requesting party
or to any other person or entity. The Records Office personnel should have to
guard against the loss, tampering and unauthorized access to records or
documents received and under their custody.
Section 2
-
Authentication, Verification and Certification of
Documents
50
1. The Records Officer or his/her authorized designee should only authenticate
documents verified to be under the custody of the Records Management Office.
Only verified documents should be stamped (whichever is applicable):
a. “CERTIFIED COPY” (with stamped official copy under custody, usually the
original copy)
b. “PHOTOCOPIED FROM RECORDS ON FILE” (for documents that only need
proof of file)
c. “VERIFIED TRUE COPY FROM THE ORIGINAL COPY PRESENTED”
2. For authentication of Certificates of concerned University officials and
personnel (Participation, Recognition, Awards, Citations and other related
documents), the Records Officer or his/her authorized designee should require the
requesting party to present the original copy for verification and to furnish a
photocopy to the Records Office for its FILE. The documents must be stamped,
“VERIFIED TRUE COPY FROM THE ORIGINAL COPY PRESENTED”. Likewise,
authentication requires a service fee of P50.00 whenever necessary or applicable.
The service fee was approved by the University Board of Regents under Board
Resolution No. 52, S. 2007.
3. In cases when the correspondence (copies for Records custody) of concerned
University officials and personnel did not passed through the Records Office and
no official stamped “Received” or “Official Release” as the case maybe, the
Records Officer or his/her authorized designee should appraise and verify the
validity of the document. The correspondence could be treated as to COPY AS FILE
and could also be stamped with no correspondence number to be assigned but
with the date and initial of the receiving personnel.
CHAPTER VII
51
SECURITY OF RECORDS
Section 1
-
Records Security
Records security is the preventive and protective measure and action being undertaken in
order to safeguard the records in the agency from unauthorized damage, disclosure, destruction and
loss.
Section 2
-
Factors to be Considered in Records Security
1. Common areas where records security infraction usually take place:
a. While the records are still in the process of preparation by the concerned creator of
documents, the office staff and personnel, secretaries, officials and employees;
b. While in the possession of the records office personnel;
c. While in the possession of the office staff who received the document;
d. While in the possession of the action officers and concerned officials;
e. While in the possession of the messenger or mail in-charge;
f. Other related incidents which could be considered beyond control of the handler or
possessor of the documents.
2. Common factors to be considered in the security of documents:
a. Loyalty and dedication of the records office personnel
b. Appropriate location of the Records Office
c. Provision of proper space, equipment, facilities and supplies
52
d. Top management’s support
Section 3
-
Important Tools on How to Protect Records
a. Vital records are placed in exceptionally safe areas, safe from fire, floods and any form of
natural calamity.
b. Use of special equipment for storage areas of vital documents like fire resistant cabinets,
vaults and safes
c. Preservation of duplicate copies of vital documents in another location or storage area
d. Control of keys of the storage areas
e. Application of signage to every restricted areas
f. Designation of smoking areas
g. Constant security check for vital records storage
h. Installation of air-conditioning units
i. Fumigation (whenever necessary)
j. Proper restriction measures for individuals entering the area where documents are being
recorded and being processed
k. Safeguard the documents to prevent unauthorized access. Documents and files should
not be left in public view
l. Formulation of a Comprehensive Records Security Plan
Section 4
-
Privacy in Documents Handling
53
The Records Management Office personnel should not release personal information to a third
party without the consent or authority of the concerned except:
a. The individual concerned has the authority or consent to the release of the personal
information.
b. The individual concerned was informed of the release of the document or information.
c. There are reasonable grounds that the document or information will prevent a serious
threat to the life of the individual concerned.
Section 4
-
Infidelity in the Custody of Documents
The following criminal offenses defined in the Revised Penal Code of the Philippines shall
constitute grounds for administrative cases:
1. Removal, Concealment or Destruction of Documents- Any public officer who shall
remove, destroy or conceal documents or papers officially entrusted to him shall be guilty
of administrative offense, whenever damage shall have been caused thereby to a third
party or to the public interest.
2. Officer Breaking SealAny public officer charged with the custody of papers or
properties sealed by the proper authority, who shall break the seals or permit them to be
broken shall be guilty of administrative offense.
3. Opening of Closed Documents- Any public officer who, without proper authority, shall
open or shall permit to open any closed paper, document, or object entrusted to his
custody shall be guilty of administrative offense.
4. Revelation of Secrets by an Officer
Any public officer who shall reveal any
secret known to him by reason of his official capacity, or shall wrongfully deliver papers or
copies of papers of which he may have changed and which should not be published, shall
be guilty of administrative offense if the revelation of such secrets or delivery of such papers
shall have caused the damage to the public interest.
CHAPTER VIII
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RECORDS RETENTION AND DISPOSITION
Section 1-
Records Retention
Records retention is the proper and systematic coding of records series following the
File Classification Guide/Scheme being implemented by the Records Management Office to
determine the number of years for which the specific records could be retained on its
current/active or non-current/inactive storage.
Section 1 -
Records Disposition (RD)
Records disposition is the systematic transfer of records that are no longer needed for
everyday operation from an office to any records storage areas. It involves the identification
and preservation of records having permanent value and the disposal of records that have
already reached their respective retention periods.
Section 2 -
Records Disposition Schedule (RDS)
The Records Disposition Schedule (RDS) is a listing of all records series of an
agency showing the period of their retention in the office area and its preservation,
destruction or disposal.
Steps in the preparation of a Records Disposition Schedule (RDS):
1. Updating of the Annual Inventory of the agency’s record holdings;
2. Records should be appraised to determine the active/current,
inactive/non-current and the valueless records;
3. Transfer the inactive/non-current records to a storage area until their final
disposition;
4. Disposal should be made after the records have already reached their
prescribed retention periods;
55
5. Disposition of the Records should be in accordance with the General
Disposition Schedule (GRDS) set by the National Archives of the Philippines
(NAP) as the authorized agency of the government.
Section 3 -
Records Disposition Program (RDP)
The Records Disposition Program (RDP) is a pre-determined, well arranged and
coordinated plan of activities for the retention, transfer and disposal of records in the
agency and to minimize or lessen the accumulation of records for the sake of economy,
efficiency and effectiveness.
Section 4 -
Setting up of a Records Disposition Program
The Records Management Office head and personnel should be in-charge of
the following:
a. Preparation of the Annual inventory of all record
holdings of the University under the custody of the
Records Management Office;
b. Preparation of the duly filled-up Records Inventory and
Appraisal Form which will be provided by the National
Archives of the Philippines (NAP);
c. Preparation of the Request for Authority to Dispose
Records (RADR) based on the Records Inventory and
duly signed by the agency head or his/her authorized
designee;
d. Submission of the Request for Authority to Dispose
Records (RADR) duly signed by the Head of the
University to the National Archives of the Philippines for
approval;
e. Preparation of the schedule and necessary details in
connection with the disposal of records.
56
Upon approval of the Request for Authority to Dispose of Records (RADR), the
Records Management Office through the head of the agency should then request for
an analyst or analysts from the National Archives of the Philippines (NAP) to inspect
the record holdings of the University.
The Analyst or the person delegated by the NAP shall be the one to examine
and to check the listed disposable records to determine their total column and volume.
The delegated analyst will be the one to prepare the Records Management
Analysis Report (RMAR) containing the total volume of records subject for disposition
and the most appropriate manner by which they should be disposed, such as:
a) transfer to the agency records or storage areas;
b) transfer to the archives of the National Archives of the Philippines; and,
c) dispose by shredding, selling, burying or landfill
The report of the Analyst or the person delegated to perform the task shall be
submitted to the National Archives of the Philippines who shall issue the corresponding
Authority for the Disposal of Records;
Upon receipt of the Authority to Dispose of Records, the actual disposal of
records will be conducted in the manner specified in the approved authority (such as
shredding, selling, burying or landfill), in the presence of the analyst from the National
Archives of the Philippines, the Commission on Audit (COA) and the University
representatives.
After the final disposal of the Records has been made, the Certificate of
Disposal shall be issued by the National Archives of the Philippines duly signed by its
analyst and countersigned by the representatives from the Commission on Audit and
the University.
Whenever and in case that the disposal of records will be in the manner of
selling, a Contract should be provided by an authorized buyer duly notarized and signed
by the buyer and the agency’s representative. The total selling price of the disposable
records as stipulated in the Contract should be paid by the buyer at the University
Cashier with corresponding official receipt to be issued.
Chapter IX
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Electronic Records
Electronic records are information or data stored and created on electronic
media or digitalized form through the use of computers and application software
that can readily be accessed or changed. These data or files are always machine
dependent formats and usually accessible and readable only with the assistance of
digital processors. Electronic records come in different formats such as Text,
Database, Electronic Mail, Voice Mail, Electronic Publications, Graphics, and other
related formats.
Section I.
Legal Basis of Electronic Records
Electronic records are governed by Republic Act No. 8792, known as the
Electronic Commerce Act of 2000, “An Act Providing for the Recognition and Use
of Electronic Commercial and Non-Commercial Transactions and Documents,
Penalties for Unlawful Use Thereof and For Other Purposes”.
Section 2.
Familiar Formats of Electronic Records
E-Records comes in different familiar formats. As the information technology
is moving on and sophisticatedly developing, there are distinct types of e-records
that could easily be identified and be familiarized with. Some of these e-records are
as follows:
1. Text or Data
E-records that are meant to be documents
which are generally developed through word processing or database
application. These e-records could consist of drafts and copies of
correspondence, memoranda, reports, publications distributed in hard
copies forms. Spreadsheets and data-base management programs aided by
software can also be used to create text documents.
2. Database
A collection of related data stored on a
computer system that can be manipulated, changed, edited or extracted
for use with various applications but managed independently. Databases
58
are organized for easy access, search and retrieval of specific facts or
information.
3. Electronic Mail (E-mail)
- A system that enables users to compose,
transmit, receive and manage electronic documents and images across
networks. It is designed to automate office communications and could be
printed on paper and filed or saved to a disk or drive. These records exist
only in electronic forms.
4. Voice Mail
consists of recorded messages through a
computerized telephone message system. Voice mail allows the recipient
to hear and to reply to telephone messages at a later time.
5. Electronic Publications
Public access servers provide access to
e-files to anyone around the globe through the access across networks.
Public information servers are tools for distributing information
electronically and serve as a for of electronic publishing. The World Wide
Web servers are the common type of public information servers.
6. Graphics Graphics are created ranging from simple figures and
tables to extremely complex images.
Digitizing scanners and video
conversion hardware also allow for the direct conversion of visual images
into digital format for electronic manipulation and storage.
Section 3.
Steps and Procedures for the Management of Electronic Mail
1. On sending official e-mail, a printed copy for FILE should always be
retained. The FILE should be recorded as sent to e-mail on the log book;
2. For incoming e-mail, it should be printed with all headers and attachments
included. The e-mail should be stamped “Received” by the receiving
personnel of the Records Management Office;
3. E-mail received by the different offices, units and departments of the
University could be optionally coursed through the Records Office. This
step is optional depending upon the option of the official concerned and
the addressee;
59
4. E-mail messages with administrative, fiscal, historical or archival, research
and/or legal values, dealing with policies should be retained and archived
in accordance with the General Records Disposition Schedule (GRDS);
5. E-mail messages that falls under official correspondence category and
which requires retention more than a few years, such as non-routine
documents, should be printed out and filed as part of the regular files;
6. The Records Management Office should always retain back-up copies of email officially received to protect valuable data from accidental erasures,
deletion, disaster or system malfunctions using electronic devices;
7. Only e-mail with official categories should be received by the Records
Management Office.
Section 4.
Managing Documents with Electronic Signatures
“Electronic signature” refers to any distinctive mark, characteristic and/or
sound in electronic form, representing the identity of a person and attached to or
logically associated with the electronic data message or electronic document or any
methodology or procedures employed or adopted by a person and executed or
adopted by such person with the intention of authenticating or approving an
electronic data message or electronic document.
1. Documents received from mail, e-mail, fax transmissions, courier and
forwarders officially addressed to the university officials bearing an
electronic and/or scanned signature should be stamped “Received” at the
Records Management Office;
2. Official issuances of the head of the agency bearing an electronic and/or
scanned signature should be initialed by his authorized designee, officerin-charge or office staff below the electronic and/or scanned signature of
the head of the agency;
3. Official issuances originating from the different offices of the University
bearing an electronic signature of university officials should be initialed
by the authorized designee or office staff in-charge below the e-signature
60
of the sender or official concerned to identify the office, unit, section,
division or department from which the document originated or printed;
4. The document bearing an e-signature should be treated as an original
and/or official copy. The document should be stamped “Received” and/or
“Official Released” whichever is applicable by the Records Office incharge.
5. Only documents with official categories should be received/released by the
Records Management Office.
Section 5.
Disposal of Electronic Records
The primary objective of records disposition is to remove the record
permanently from possible use to ensure that the sensitive or confidential
information cannot be accessed anymore. Disposal of electronic records should be
according to the approved Records Disposition Schedule (RDS) and the General
Records Disposition Schedule (GRDS) set by the National Archives of the Philippines
(NAP) under Republic Act No. 9470, otherwise known as the “National Archives of
the Philippines Act of 2007”. The NAP supervises and approves the disposal of
valueless records after all the requirements for records disposition has been satisfied
by the agency.
GLOSSARY
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Active Records files or records needed for day-to-day or current operations.
Administrative issuances are written releases which are transmitted to staff and action offices.
Appraisal is the process by which records are carefully and systematically studied and analyzed for the
purpose of establishing their respective values.
Archives refer to the non-current records of an organization preserved because of values attached to
them. It is also a repository of permanent records.
Authority is a conclusive statement leading to an official decision.
Centralized Control refers to limiting the responsibility for operation of procedures involved in records
activities.
Classification is the process of identifying and arranging records or files.
Classification scheme is a systematic arrangement of subjects according to a plan as an aid in classifying
file materials.
Control is a measure designed to provide speed and efficiency of files operation.
Correspondence consists primarily of letters, memoranda and other communications that comprise
a significant portion of any organization’s records.
Cross-referencing is a process used when more than one subject is covered by materials or when
several indicators are helpful in finding them.
Current records are records that are often used in carrying out agency’s functions in connection with
which they have been accumulated.
Decentralized files are files or records located in specific working areas.
Disposal is the act of selling, burning, burying or any other way of getting rid of valueless records in
accordance with the provisions of the Records Disposal Procedure.
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Disposition is the systematic transfer of non-current records from an office to any records storage
area, the identification and preservation of permanent records and the outright destruction of
valueless records.
Document refers to recorded information regardless of medium characteristics. Frequently used
interchangeably with “records”.
Electronic mail (e-mail) a system that enables users to compose, transmit, receive, and manage
electronic documents and images across networks.
Electronic Records are informational or data files that are created and
stored in digitalized form through the use of computers and software applications; these are
records created, generated, sent, communicated, received, sent, communicated, received
and stored by electronic means.
Facsimile (Fax) Transmission is an electronic means of transmitting an exact reproduction of an
image/information using telephone lines. The image is scanned by the transmitter and
reconstructed at the receiving station.
Files may mean a folder, a collection of papers involving names or topics,
subjects or locations and a class of records in different records series in a filing docket or the
operation involved in arranging records in systematic order.
File Break refers to the termination of filing activity for a particular file at a
predetermined time, or after a lapse of a specific event in the beginning of a new filing period.
File copy is a record copy usually the original copy.
Files Management is the management of official records that are properly and adequately classified
and arranged according to guide.
Filing is the placing of documents in proper containers according to some predetermined
arrangements for quick and easy retrieval.
Filing system is a plan for identifying, arranging and finding records.
Fiscal Value refers to the serviceability of records concerning financial obligations of the agency.
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Flow chart is an illustration used to analyze technique and process to document a system in a clear,
concise and logical manner, showing the movement of communication through various steps
from its origin up to the final disposition.
Form is a piece of paper containing blank spaces for insertion of information in a standardized manner.
Functional chart is a guide that indicates the functions of each personnel/position identifying the
general purpose of the services being catered to clienteles.
Inactive Record is a record that does not have to be readily available, but which must be kept for legal,
fiscal, administrative, research, archival or historical purposes.
Infidelity of Records is the loss of records under the custody of the agency including loss of valueless
records before their actual disposal.
Inventory is a descriptive listing of record holdings by records series indicating specific location, inclusive
dates and volumes in cubic meters.
Issuances are general policies and guidelines in written form released from time to time by the higher
authorities or other responsible officials for purposes of transmitting orders, instructions,
information and advisories, operations and activities of the units, departments and sections of
the agency.
Legal Value is the use of records containing evidence of legally enforceable rights or obligations of
government and/or private person.
Mail Management is the activity being undertaken in handling incoming and outgoing mail and
dispensing messenger’s services.
Non-essential Records are records that have no predictable value to the organization after their initial
use and should be destroyed immediately.
Non-Current Records are files that deal with completed or adjourned business not needed for action
or reference in continuing agency transactions but are of continuing research or historical
value to the government and the public.
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Non-record is an item that is not usually included within the scope of official records, such as
convenience file, day file, reference notes, drafts and etc. These records are not required to be
retained.
Official Record is a significant, vital, or important record of continuing value to be protected, managed
and retained according to its retention period. It is often, but not necessarily an original copy.
An official record has the legally recognized and judicially enforceable quality of establishing
some fact.
Organizational Chart is an outline reflecting the structural composition of an office or organization
which ideally is composed of positions/personnel complement in hierarchical order.
Paperwork Management concerned with the framework and techniques of producing, processing
and handling of papers containing various types of written information. It is the method or a
system to control the creation, practical use, maintenance, storage, protection and disposition
or preservation of different forms of paper documents.
Policy is a guide to action that prescribes the boundaries within which activities are to take place.
Policy Statement is a statement of intention and commitment to management. It is a commitment
that covers some features of a program that contains an expression of principle or objective in
one policy expression.
Records can be defined as any paper, book, photograph, motion picture
film, microfilm, sound recording, drawing, map or any document in physical form or character,
that has been made by any entity or received by it in connection with the transaction of public
business, and has been retained by that entity as evidence of the objectives, organization,
functions, policies, decisions, procedures, operations and other activities because of the
information contained therein.
Records Appraisal is the process by which records are carefully and systematically studied and
analyzed for the purpose of establishing appropriate values which will be vital factors in their
final disposition. It is a detailed examination of records to determine their administrative, legal,
legal, fiscal, historical or research value.
Records Center is a centralized area for servicing inactive/non-current records.
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Record copy is the official copy of a record that is retained for legal, operational, or historical purposes.
It is usually an original copy.
Records Disposition is a systematic removal from office to storage of records that are not needed in
everyday operation, identification and preservation of permanently valuable records and the
destruction of valueless records.
Records Inventory a detailed listing of all record holdings that include the types, locations, dates,
volumes, equipment, classification systems, and usage data of an organization.
Record Life Cycle is the life span of a record from creation, distribution, maintenance and use up to its
final disposition.
Records Management is the application of a systematic and scientific control to recorded information
in the operation of the agency.
Records Management Operations Manual is a guide which contains the outlined records
management program of the agency.
Records Management Program is a program which strives to achieve an orderly and efficient flow of
information in the organization by providing information at the time and in the form needed
to facilitate the management problem-solving and decision-making process.
Records Office is the designated office of an agency where records are received, released and
maintained.
Records Retention Program is a program established and maintained to provide retention periods
for records in an organization.
Records Retention Schedule is a comprehensive list of records series titles, indicating for each series
the length of time the records are to be maintained.
Records Security is the preventive and protective measures and actions undertaken in order to
safeguard records from unauthorized damage, disclosure, destruction and loss.
Records Series is a group of related records arranged under a single unit or kept together as a unit
which deal with a particular subject, result from the same activity or have a special form such
as maps, blueprints etc.
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Records Retention Program is a program designed, established and maintained to provide retention
periods for records in an organization.
Restriction is the limitation placed by authority on access to records or information.
Restricted Documents are documents which contain information and materials that require special
protection.
Retention period is the specified length of time established and approved by competent authority
within which a record maybe maintained or stored before its final disposal.
Sorting is the arrangement of records in the sequence in which they are to be filed or stored.
Temporary Records are records that have served the purposes for which they were created or when
the action on them have been accomplished or terminated.
Time Value refers to a specific period of usefulness.
Utility Value refers to the nature of usefulness of records in an agency.
Valueless records are records that have reached their prescribed retention period and usefulness to
the agency.
Vital records are important papers or documents which are irreplaceable and are necessary for the
agency’s continuous operations.
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APPENDICES
Appendix A
REPUBLIC OF THE PHILIPPINES
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas
NAP General Circular No. 1
January 20, 2009
TO: HEADS OF ALL BRANCHES OF THE GOVERNMENT, CONSTITUTIONAL OFFICES, LOCAL
GOVERNMENT UNITS (LGUS), GOVERNMENT-OWNED AND CONTROLLED CORPORATIONS
(GOCCS), GOVERNMENT FINANCING INSTITUTIONS (GFIS), STATE UNIVERSITIES AND
COLLEGES (SUCs), PHILIPPINE EMBASSIES, CONSULATES AND OTHER PHILIPPINE OFFICES
ABROAD
Subject:
RULES AND REGULATIONS GOVERNING THE MANAGEMENT OF PUBLIC RECORDS
AND ARCHIVES ADMINISTRATION
These rules and regulations are issued under provision of RA 9470 otherwise
known as the National Archives of the Philippines Act of 2007 and its implementing
Rules and Regulations, to effect better coordination in the management of
government records and public archives. The National Archives of the Philippines is
mandated to plan, develop, prescribe, disseminate, and enforce policies, rules and
regulations and coordinate government-wide programs governing the creation,
general protection, use, storage and disposition of public records including the
acquisition, storage and preservation of public archives and providing facilities for
reference, research and other purposes.
(Sgd) MARIETTA R. CHOU
Acting Executive Director
(Official Gazette Vol. 105, No. 12, p. 1715)
68
NAP General Circular No. 1
January 20, 2009
ARTICLE III
Records Management and Archives Administration
Rule 3.
Requirements of Records and Archives Management
Rule 3.1 Establishment of a Records and Archives Management Program
All government agencies shall establish and maintain an archive continuing program directed to the
application of efficient and economical records management methods relating to the creation,
utilization, maintenance, retention, preservation and disposal of public records.
Rule 3.2 Establishment of Records and Archives Office/Unit
All government agencies shall each establish their Records and Archives Office/Unit in coordination with
the DBM and NAP from their organicpersonnel within a year from the date of effectivity of RA 9470. The
Records Officer or Archivist of a government agency shall head the said office/unit.
Rule 3.3 Agency’s Records Officer
Each agency shall appoint a qualified Records Officer for the purpose of implementing and overseeing a
records management program and to serve as Liaison with the NAP.
Rule 3.4 Records Management Improvement Committee: Its Composition and Functions
Each agency shall create a Records Management Improvement Committee (RMIC) as an advisory body
on the development of records management, the Chairman and members of which shall be designated
by the Head of the Agency.
Rule 3.5 Agency Records Management Manual
Each agency shall develop and maintain a Records Management Operations Manual which shall
contain the functions, organizational chart of the Records Office, policies and standard operating
procedures on records management activities.
(Official Gazette Vo. 105, No. 12, p. 1718)
69
Appendix B
REPUBLIC OF THE PHILIPPINES
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas
NAP General Circular No. 2
January 20, 2009
TO: HEADS OF ALL BRANCHES OF THE GOVERNMENT, CONSTITUTIONAL OFFICES, LOCAL
GOVERNMENT UNITS (LGUS), GOVERNMENT-OWNED AND CONTROLLED CORPORATIONS
(GOCCS), GOVERNMENT FINANCING INSTITUTIONS (GFIS), STATE UNIVERSITIES AND
COLLEGES (SUCs), PHILIPPINE EMBASSIES, CONSULATES AND OTHER PHILIPPINE OFFICES
ABROAD
Subject:
GUIDELINES ON THE DISPOSAL OF VALUELESS RECORDS IN GOVERNMENT
AGENCIES
RA 9470, The National Archives of the Philippines Act of 2007 renamed Records
Management and Archives Office as the National Archives of the Philippines mandated to
plan, develop, prescribe, disseminate, and enforce policies, rules and regulations and
coordinate government-wide programs governing the creation, general protection, use,
storage and disposition of public records.
In compliance with Section 9 (1) (2) of Article II and Section III, the following guidelines
on the disposal of valueless records in all agencies of the government are hereby fixed and
issued for the guidance of all concerned.
All other issuances or parts thereof inconsistent with this Circular are hereby
superseded and amended accordingly.
(Sgd) MARIETTA R. CHOU
Acting Executive Director
(Official Gazette Vol. 105, No. 12, p. 1718)
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71
72
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74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
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Appendix C
ARTICLES FROM THE REVISED PENAL CODE OF THE PHILIPPINES
Article 171. Falsification by public officer, employee or notary or ecclesiastic minister - The penalty of
prison mayor (8-14 years) and a fine not to exceed P5,000.00 shall be imposed upon any public officer,
employee or notary who, taking advantage of his official position, shall falsify a document by
committing any of the following acts :
1. Counterfeiting or imitating any handwriting or signature of any person in any record or
document;
2. Causing it to appear that persons have participated in any act or proceeding when they did
not in fact so participate;
3. Attributing to persons who have participated in an act or proceeding statements other
than those in fact made by them;
4. Making untruthful statements in a narration of facts;
5. Altering true dates;
6. Making any alteration or intercalation in a genuine document which changes its meaning;
7. Issuing in an authenticated form or document purporting to be a true copy of an original
document when no such document originally exists, or including such copy a statement
contrary to or different from that of the genuine original; or,
8. Intercalating any instrument or note relative to the issuance thereof in a protocol, registry
or official book.
Article 226. Removal, concealment or destruction of documents - Any public officer who shall
remove, destroy or conceal any records or documents or papers entrusted to him
without any authority shall suffer:
93
1. The penalty of prison mayor (8-14 years) and a fine of not exceeding P1,000.00 whenever
a serious damage shall have been caused thereby to a third party or to the public interest;
2. The penalty of prison correccional (6 months to 2 years) in its minimum and medium
period and a fine not exceeding P1,000.00 shall be imposed whenever the damage caused
to a third party or to the public interest shall not have been serious;
(In either case, the additional penalty of temporary special disqualification in its maximum period to
perpetual disqualification shall be imposed.)
Article 227. Officer breaking seal - Any public officer charged with the custody of papers or property
sealed by proper authority, who shall break the seals or permit them to be broken, shall suffer the
penalties of prison correccional in its minimum and medium periods, temporary special
disqualification and a fine not exceeding P2,000.00 pesos.
Article 228. Opening of closed documents - Any public officer or employee without proper authority
opened any closed papers, documents or objects entrusted to his custody shall suffer the penalty of
arresto mayor, temporary special disqualification and a fine of not exceeding P2, 000.00 pesos.
Article 229. Revelation of secrets by an officer - Any public officer who shall reveal any secret known
to him by reason of his official capacity, or who wrongfully deliver papers or copies of papers of which
he may have charge and which should not be published, shall suffer the penalties of prison
correctional in its medium and maximum periods, perpetual special disqualification and a fine not
exceeding P2,000.00 pesos...
Art. 230. Public officer revealing secrets of private individual – Any public officer to whom the secrets
of any private individual shall become known by reason of his office who shall reveal such secrets, shall
suffer the penalties of arresto mayor and a fine not exceeding 1,000.00 pesos.
Appendix D
94
Article from REPUBLIC ACT 6713 (Also Known as the Code of Conduct and Ethical Standards for
Public Officials and Employees)
Section 3, Rule IV, of the IRR of RA 6713, provides that every department, office or agency shall
provide official information, records or documents to any requesting public except if:
Such information, record or document must be kept secret in the interest of national defense
or security and/or conduct of foreign affairs.
Such disclosure would put the life and safety of an individual in imminent danger.
The information, record or document sought falls within the concepts of establishing privileged
or recognized exceptions as may be provided by law or settled policy jurisprudence.
Such information, record or document comprises drafts of decisions, orders, rulings, policy
decisions, memoranda, etc.
It would disclose information of a personal nature where disclosure would constitute a clearly
unwarranted invasion of personal privacy.
It would disclose investigatory records complied for law enforcement purposes, or information
which if written would be contained in such records, but only to the extent that the production of such
records or information would (i) interfere with enforcement proceedings (ii) deprive a person of a right
to fair trial or impartial adjudication, (iii) disclose the identity of a confidential source, or agency which
regulates currencies, securities, commodities, or financial institutions, and be likely to lead to
significantly endangering the stability of any financial institution, or in the case of any department,
office or agency, be likely or significantly to frustrate implementation of a proposed official action,
except that subparagraph (f) (ii) shall not apply in any instance where the department, office or agency
is required by law to make such disclosure on its own initiative prior to taking final official action on such
proposal.
Appendix E
95
Republic of the Philippines
PALAWAN STATE UNIVERSITY
Puerto Princesa City
September 14, 2012
C E R TI FI CA T ION
This is to certify that Resolution No. 68, series of 2012 of the Board of Regents of the Palawan State University,
quoted hereunder in italics, was confirmed and approved by the Board duringits 163rd Meeting held on September 4, 2012
at the CHED Executive Lounge, 4/F HEDC Building, C.P. Garcia, UP Diliman, Quezon City.
Resolution No. 68
Series of 2012
CONFIRMING AND APPROVING the Records Management Operations Manual.
APPROVED
Issued this 14th day of September 2012 at Palawan State University, Puerto Princesa City, Palawan, Philippines.
Certified true and correct:
(SGD) CRISOSTOMO M. BIOLENA, JR.
University and Board Secretary
Attested by:
(SGD) DR. JETER S. SESPEÑE
University President
REFERENCES
96
Head-Smith, Ginn, Kallaus., Records Management, Seventh Edition. South-Western Thomson
Learning. U.S.A. 2002
Elizabeth Shepherd and Geoffrey Yeo., Managing Records, a Handbook of Principles and Practice,
Facet Publishing 2003-2004, U.S.A.
Training Modules, Records Management and Archives Office (RMAO), now National Archives of
the Philippines (NAP)
Training Modules, Philippine Records Management Association, Inc. (PRMA)
Handbook, Systems and Procedures in Administration in the Palawan State University, July 4, 1995
Philippine Values Digest, “The Journal for Value Education” Effective Office Management and
Secretarialship in Philippine Setting
Article from Republic Act 6713 (also known as the Code of Conduct and Ethical Standards for Public
Officials and Employees)
Articles from the Revised Penal Code of the Philippines (for the relevant and selected articles)
General Circulars, National Archives of the Philippines (NAP), January 20, 2009 (Published under
Official Gazette, March 23, 2009, Vol. 105, No. 12, pages 1715-1740)
Republic Act No. 9470 “National Archives of the Philippines Act of 2007”
Republic Act No. 8792 “Electronic Commerce Act of “2000”
Official Gazette, March 23, 2009, pp 1729-1740; Vol. 105, No. 12, p. 1718; Vol. 105, No. 12, p. 1715
(Inside back page of the Manual)
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“ When WE campaign
for greater
information
access, we must at
the same time campaign for
improved
records
management”
By: Jeremy Pope
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(Back page of the Manual)
VISION
A premier State University in Southeast Asia that provides
excellent and relevant higher education for sustainable development
MISSION
The Palawan State University is committed to upgrade the quality of
life of the people by providing higher education opportunities through
excellent instruction, research, extension, production services and
transnational collaboration and innovations.
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