Records Management

INTRODUCTION

 Records Management is not an exclusive undertaking of a corporation, an

association or any other judicial business institution. Definitely, the principles
involved in records management apply, as well, to the PNP, as an organization.

 The PNP, particularly its multi-investigative units must establish and maintain an
active, continuing program for the economical and efficient management of its
own record. This means establishing continuous and systematic control over the
creation, maintenance and use, and disposition of records in accordance with
statutory and regulatory requirements.
 LEARNING GOAL

 This subject will help participants/students be clarified on the value of records

management and develop in them basic records management skills and
techniques.
 LEARNING OBJECTIVES

At the end of the lesson, the participants must:

1. Clearly define important terminologies;

2. Apply the basic procedures in keeping and filing of records; and

3. Know how to secure and preserve documents or records.

 DEFINITION OF TERMS

a. Record - refers to the information, whether in its original form or otherwise,

including documents, signatures, seals, texts, images, sounds, speeches, or data
compiled, recorded, stored, as the case may be:
1. In written form on any material; or

2. On film, negative, tape, or other medium so as to be capable of being reproduced; or

3. By means of any recording device or process, computer, or other electronic device or

process;
 DEFINITION OF TERMS

b. File - refers to:

1. a folder containing records; or

2. a collection of records involving a specific name or topic;

3. a class of records in a separate group or series of file drawers;

4. the operation involved in arranging records in systematic order.

 DEFINITION OF TERMS

c. Document - refers to recorded information regardless of medium or

characteristics. Frequently used interchangeably with "record".

Documentary evidence. - Documents as evidence consist of

writings, recordings, photographs or any material containing letters, words,
sounds, numbers, figures, symbols, or their equivalent, or other modes of
written expression offered as proof of their contents. Photographs include still
pictures, drawings, stored images, x-ray films, motion pictures or videos.
 DEFINITION OF TERMS

d. Archives - shall refer to:

 Public records, papers, periodicals, books or other items, articles or materials,

whether in the form of electronic, audio-visual, or print, which by their nature and
characteristics have enduring value, that have been selected for permanent
preservation;

 The place (building/room/storage area) where archival materials are kept and
preserved; and

 An organization (or part of an organization) whose main function is to select,

collect and preserve archival records and make such records available for public
use.
 DEFINITION OF TERMS

e. Current Records - record that continue to be used by the creating

administrative unit for the conduct of regular business and are maintained in active
office files. It may refer also to records that are consulted at least once per month.

f. Non-Current Records - Records no longer needed by their creator to conduct

current business. A series of records with a reference rate of less than one search
per year.

g. Records Management - refers to the managerial activities involved with respect

to the records creation, records maintenance and use, transmission, retention, and
records disposition in order to achieve adequate and proper documentation of
policies and transactions of government for its efficient, effective and economical
operation;
 DEFINITION OF TERMS

h. Record Custodian - refers to any unit personnel with responsibilities over a

particular set of records. A records custodian must keep the Record Officer
informed of any issues regarding the records in their custody.

i. Records Officer - refers to the employee responsible for overseeing the records
management program and providing guidance on adequate and proper record
keeping.

j. Records Creation - refers to the:

1. Organization's operation wherein exchange of written ideas between two sources occur;

2. Act of controlling records and retaining them in records keeping system; and

3. Bringing of records into existence as evidence of any administrative process;

 RECORDS MANAGEMENT

Refers to the managerial activities involved with respect to the records creation,
records maintenance and use, transmission, retention, and records disposition in
order to achieve adequate and proper documentation of policies and transactions
of government for its efficient, effective and economical operation.
 LIFE CYCLE OF RECORD
Records go through three stages in its life, namely:

a. Birth or Creation during which the record is created or comes into existence.

b. Records maintenance and use

1. Active Life - during which the record is maintained, used, and controlled.

2. Inactive Life - The time when a record is very rarely or no longer referred to and must
be transferred to a cheaper place. These records have already served their purpose but
must be kept just the same for legal requirements or some other compelling reasons. They
are only destroyed the moment their retention periods have expired.

c. Records Disposition - the systematic transfer of non-current records from the office to any
storage area, the identification and preservation of permanent records and the destruction of
valueless records.
BENEFITS OF GOOD RECORDS MANAGEMENT

1. Perform daily official more efficiently;

2. Waste less personnel time with faster record retrieval;

3. Protect against accidental or record premature destruction;

4. Prevent costly paper accumulation with systematic record disposal;

5. Secure vital records and information in case of business disruption or disaster;

6. Reclaim office space used for inefficient storage.

7. Access documents that demonstrate regulatory and legislative compliance; and

8. Build confidence and pride from knowing you’ve done and important job well.
MAJOR CATEGORIES OF VALUE OF RECORDS

1. Time Value – refers to the specific period of usefulness of records.

a. Temporary – when they have served the purpose/s for which they were created or when
action on them has been accomplished or terminated.

b. Permanent – when the records have administrative, legal, archival, research or historical
significance and are worthy of preserving.
MAJOR CATEGORIES OF VALUE OF RECORDS

2. Utility Value – refers to the nature of the usefulness of the records to the
organizations operations.
a. Administrative value – records created as an administrative tool to accomplish the mission of the organization

b. Fiscal value – records created as an administrative tool to discharge the financial obligation of the organization.

c. Legal value – records that express legal decisions, opinions and those that generally give protection of the civil,
legal property and other rights of the citizen.

d. Archival value – records that reflects a significant historical event or historical documents that could be used as
basis of research.

e. Historical – records of the past and current activities, the value referring to policies, plans, rules and procedures
which the organization or one of the component part adopted to carry out its function and responsibilities.

f. Research – records that provide actual or potential usefulness for studies of methods, operation, data or
experience and investigation for use in the conduct of further scientific researches.
 CLASSIFICATION OF RECORDS
Our vital records and documents are classified as TOP SECRET, SECRET,
CONFIDENTIAL, and RESTRICTED more specifically defined as follows:
a. TOP SECRET DOCUMENTS
Records or documents contain information and materials, the unauthorized disclosure
of which would cause exceptionally grave damage to the nation politically, economically
or from the point of National Security. This kind of records deserves the most guarded
secrets by the person involved.
b. SECRET RECORDS OR DOCUMENTS
Records contain information or materials, the unauthorized disclosure of which would
endanger National Security, cause serious injury to the interest and prestige of the
nation or any governmental activity or would be of great advantage to other nation.
 CLASSIFICATION OF RECORDS

Our vital records and documents are classified as TOP SECRET, SECRET,
CONFIDENTIAL, and RESTRICTED more specifically defined as follows:
c. CONFIDENTIAL RECORDS OR DOCUMENTS
Records contain information and materials the unauthorized disclosure of which
would be prejudicial to the interest or prestige of the nation, or any government
activity or would cause administrative embarrassment or unwarranted injury to the
honor and dignity of an individual, or would be of advantage to a foreign nation.
d. RESTRICTED RECORDS OR DOCUMENTS
Records contain information and material which requires special protection other
than that determined to be TOP SECRET, SECRET, OR CONFIDENTIAL.
 RECORDS CUSTODIAN

Refers to any unit personnel entrusted with the

responsibility over a particular set of records. A records
custodian must keep the Records Officer informed of any
issues regarding the records in their custody.
 FILING SYSTEM
PNP records, especially those stored in police station, follow a specific records storage pattern for
rapid retrieval and disposition. Features dominantly appearing in the existing Records Management
System, like when a complainant wishes to obtain or extract from the station blotter record, may
include subject, a name associated with the record, a number which identify the record, a title.
Common arrangement pattern currently in use, include the following:
1. ALPHABETICAL – the most widely used form of filing. It stresses the name, subject, or the
important item. It can be considered the foundation for practically all filing since in most instances,
when other forms are used; the arrangement of the smaller unit is usually alphabetical. Under the
alphabetical arrangement, all materials are files in dictionary order. If the first letter is not sufficient
for determining the proper place of the material, the second, and if necessary, the third and the
fourth succeeding letters are used. The advantages of alphabetical filing are that, direct reference is
provided, a quick check is offered on misfiled material, and common names are grouped. It is
sometimes considered the “natural way to life”. Encyclopedic Order. – The subjects are grouped
into major headings. Individual folders are filed in alphabetical order behind each heading.
 FILING SYSTEM

2. CHRONOLOGICAL – a chronological system is most useful

for records that are created and monitored on a daily basis. Folders
are arranged by sequential date order. It is, however, recommended
that chronological filing be avoided. Retrieval can be slow and
difficult as few people tend to remember dates accurately. The date
of occurrence is rarely the basis of retrieval of information.

3. GEOGRAPHICAL - information is arranged alphabetically by

geographical name of the place.
 FILING SYSTEM

4. NUMERICAL – numerical files are most easily managed through

the following system:

1. Serial Number – used for files which have a preprinted number. Works
best for records that are assigned a number on creation, e.g., invoices and
purchase requests.

2. Digit Filing – uses an applied number to identify folders, e.g., social

security number, student number, patient number, budget number. Works
best for record series containing large numbers of records.
 Centralized Files

Centralized filing places all records series in one central location in an office. It is
most useful when the majority individuals within an office require access to a majority
of files.
In a centralized file:
 There is a greater control over the files;
 Uniformity and consistency is easier to maintain;
 All important information is located in a central location;
 All information regarding a specific subject is located in a central location
 The need for duplicate files is eliminated; and
 Storage of records requires less equipment and space
 Decentralized Files

Decentralized filing physically locates record series in different places

within an office. It is most useful when only one individual requires
access to a specific record series.

In a decentralized file:
 There is less chance of folders being misfiled into wrong record series;

 Limited access to a record series leads to greater security and

confidentiality; and
 The record series is physically located closer to the user
 SECURITY OF RECORDS

1. Security of Records, defined. – The preventive and protective

measures and actions undertaken in order to safeguard
records/documents in all government agencies from unauthorized and
indiscriminate disclosure, damage, destruction and loss, whether these
records are filed in the current or non-current storage area.
 SECURITY OF RECORDS

2. Significance of Records Security

a. An inseparable task of every supervisor in any organization. –
Security is a command responsibility. It is the duty of all supervisors to assure
themselves of the loyalty and integrity of the personnel belonging to their units.
Effective security depends on the supervisor.

b. A continuing challenge to those who have the fundamental duty or

obligation to keep interest in the security measure alive. – Records
keepers must be records security at all times. This is a test for the records
keepers whether the trust and confidence placed upon them is upheld.
 SECURITY OF RECORDS

2. Significance of Records Security

c. A Facilitator. – Records security enables the easy retrieval of the
records at the most convenient time, documenting further its adhesiveness with
the principle of reliability.

d. One of the deterring factors to acts of sabotage, arson,

embezzlement and other vicious forms of crimes against property.

e. One of the several important elements of a proper and sound

records management. – records which are vital to the agency’s operations are
identified and given adequate protection against natural and man-made
hazards.
 SECURITY OF RECORDS
3. Supplemental Security Chains

For the purpose of classification, there are at least three supplemental security chains
normally adopted in the maintenance of security of records and documents.

a. PHYSICAL SECURITY

It is a method in safeguarding police records, documents and files by all

station personnel through physical means, such as: the assignment of records custodian
and security officer, fire protection measures, construction of fences, lighting system,
alarm system, installation of restricted signs prohibiting loiters and unauthorized
personnel, smoking and other similar means of making plans, policies, programs, training
of security personnel, use of utilities, information drives, and installation against
compromise, trespass sabotage, pilferage, embezzlement, fraud or any form of dishonest
and criminal acts against records.
 SECURITY OF RECORDS

3. Supplemental Security Chains

For the purpose of classification, there are at least three supplemental security
chains normally adopted in the maintenance of security of records and documents.

b. COMMUNICATION SECURITY

It is the protection resulting from the application of measures to prevent the

unauthorized disclosure of classified information or by the use of methods to delay
the enemy or any unauthorized person from gaining information, or access to the
records or disclosing the same, by means of any form of communication.
 SECURITY OF RECORDS
3. Supplemental Security Chains

For the purpose of classification, there are at least three supplemental security chains normally
adopted in the maintenance of security of records and documents.

c. PERSONNEL SECURITY

This includes all security measures designed to prevent unsuitable Individuals or persons of
doubtful loyalty from gaining access to the classified records and documents or to any facility and
to prevent the appointment or retention of any person as an employee in any agency. In most
cases, background check or complete background investigation and continuous surveillance of a
certain employee is applied in order to determine his/her integrity and loyalty. No individual shall
be appointed, retained or assigned to positions involving the handling of records and documents if
there is a reasonable doubt about his loyalty to the unit or the chief of the office concerned.
LAWS AND JURISPRUDENCE RELATING TO
RECORDS MANAGEMENT AND SECURITY
Measures Adopted By The Government To Safeguard Records

SECTION 633 of the Revised Administrative Code states that employees who are
in charge of files shall be accountable and responsible for their safekeeping.
 LAWS AND JURISPRUDENCE RELATING TO RECORDS
MANAGEMENT AND SECURITY
ARTICLE 171 of the Revised Penal Code provides for the penalty of prision mayor and a fine not to exceed
One million pesos (P1,000,000) 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:
 Counterfeiting or initiating any handwriting or signature of any person in any record or document.
 Causing it to appear that persons have participated in any act or proceeding when they did not really participate;
 Attributing to persons who have participated in an act or proceedings statements other than those in fact made by them;
 Making untruthful statements in a narration of facts;
 Altering true dates in certain documents or records;
 Making any alteration or intercalation in a genuine document which changes its true meaning;
 Issuing an authenticated form a document purporting to be a true copy of an original document originally exists, or
including such copy a statement contrary to or different from that of the original; and
 Interpolating any instrument or note relative to the issuance thereof in a protocol, registry or official book.

The same penalty shall be imposed upon any ecclesiastical minister who shall commit any of the aforementioned
offenses of this article, with respect to any record or document of such character that its falsification may affect the civil status
of a person.
LAWS AND JURISPRUDENCE RELATING TO RECORDS
MANAGEMENT AND SECURITY
ARTICLE 226, Revised Penal Code, speaks of the unauthorized removal,
concealment or destruction of records and documents. Any public officer
who shall remove, destroy or conceal any records or documents or papers
entrusted to him without any authority, shall suffer the following penalties:
 The penalty of prision mayor and a fine not exceeding Two hundred thousand
pesos (P200,000.00), whenever serious damage shall have been caused thereby
to a third party or to the public interest.
 The penalty of prision correccional in its minimum and medium period and a fine
not exceeding Two hundred thousand pesos (P200,000.00). 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 disqualification in the government service
to a maximum period of special disqualification shall be imposed.
LAWS AND JURISPRUDENCE RELATING TO RECORDS
MANAGEMENT AND SECURITY

 ARTICLE 227 of the Revised Penal Code. ART. 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 prision correccional in its minimum
and medium periods, temporary special disqualification and a fine not exceeding Four hundred
thousand pesos (P400,000).

 ARTICLE 228 is embodied in the Revised Penal Code to penalized any public officer or
employee found guilty of opening a closed document. He shall suffer the penalty of arresto
mayor, plus a fine of P400,000.00 and disqualification from holding a public office. The damage
cause in this article is not a requirement.
LAWS AND JURISPRUDENCE RELATING TO RECORDS
MANAGEMENT AND SECURITY
ARTICLE 229, also in the Revised Penal Code, 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 charge and which should not. be published, shall suffer the
penalties of prision correccional in its medium and maximum periods, perpetual special
disqualification and a fine not exceeding Four hundred thousand pesos (P400,000) if the revelation
of such secrets or the delivery of such papers shall have caused serious damage to the public
interest: otherwise, the penalties of prision correccional in its minimum period, temporary special,
disqualification and a fine not exceeding One hundred thousand pesos (P100.000) shall be
imposed.The following are to be considered to warrant the conviction of any public officer under this
provision:
 That the offender is a public official or employee;

 That he knows the secret by reason of his official capacity;

 That he reveals such secrets without authority or justifiable reasons;

 That the damage, great or small shall be caused to public interest;

 That records or documents are under his custody.