RETENTION OF DOCUMENTS

7/29/2019 RETENTION OF DOCUMENTS

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RETENTION, TRANSFER AND DISPOSAL OF RECORDSIN THE COURT LIBRARIES

MILAGROS SANTOS-ONG4TH National Convention and Elections of theCourt Librarians Association of the Philippines (CLAPHIL)

DOJ Academy, Clarkfield, Angeles City, PamapangaApril 16, 2009DEFINITIONPUBLIC RECORDS - Records or classes of records, in any form, in whole or in part, created or received by the government agency in the conduct of its affairs, and have been retained by the government agency or its successors as evidence or because of the information therein.(Rep. Act No. 9470, Art. 1, sec. 4(w)

PUBLIC RECORDS AS EVIDENCE AND CERTIFICATIONFELIPA DELFIN vs. PRESENTACION D. BILLONESG.R. No. 146550, March 17, 2006

In court proceedings, there is adistinction between Public records and

Certification.The requisites for documents to be considered asPublic Records were enumerated. Important requisitefor public records to be prima facie evidence it that theymust be done performance of a duty by a public officer.Justice Dante Tinga opined that Documents consisting of entries in public records made in the performance of a duty by a public officer are prima facie evidence of the facts therein stated.[44]Public documents are (i) the written official acts, or records of the officialacts of the sovereign authority, official bodies and tribunals, and public officers, whether of the Philippines, or of a foreign country; (ii) documents acknowledged before a notary public except last wills and testaments; and (iii) publicrecords, kept in the Philippines, of private documents required by law to be ent

ered therein.[45] Public documents may be proved by the original copy, an official publication thereof, or a certified true copy thereof;[46] and when a copy ofa document or record is attested for the purpose of evidence, the attestation bythe officer having legal custody of the record must state that the copy is a correct copy of the original, or a specific part thereof, as the case may be.[47] Aduly-registered death certificate is considered a public document and the entries found therein are presumed correct, unless the party who contests its accuracy can produce positive evidence establishing otherwise.[48] Nevertheless, this presumption is disputable and is satisfactory only if uncontradicted, and may be overcome by other evidence to the contrary.The documents presented by respondents were mere certifications and not the certified copies or duly authenticated reproductions of the purported death certific

ates.RECORDSInformation whether in its original form or otherwise, including documents, signatures, seals, texts, images, sounds, speeches, or data compiled, recorded, or stored as the case may be:

1. In written form or any material;2. On film, negative, tape or other medium so as to be capable of being repr

oduced; or3. By means of recording devise or process, computer or electronic device or

process


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.(Rep. Act No. 9470, Art. 1, sec. 4(x)

JUDICIAL RECORDSRecords presented to, or belonging to theSupreme Court including all the judicialcourts and judicial organizations under itsJurisdiction .(Rep. Act No. 9470, Art. 1, sec. 4(k)

JUDICIAL RECORDSRecords presented to

*Decisions including the RollosBelonging to the Supreme Court including all the judicial courts and judicial organizations

* Issuances and otherpertinent regulations

DECISIONS Court Records in RolloPENDING Accessible only to the

PartiesDECIDED May be Access

National Archives

Court of OriginInformation and Experioence to shareACCESS Parties to the caseA.M. No. 1120-MJ May 5, 1976DOMINADOR C. BALDOZA vs. JUDGE RODOLFO B. DIMAANOR E S O L U T I O NANTONIO, J.:Verified letter-complaint filed the Municipal Secretary of Taal, Batangas, charged Municipal Judge Rodolfo B. Dimaano with abuse of authority in refusing to allow employees of the Municipal Mayor to examine the criminal docket records of the Municipal Court to secure data in connection with their contemplated report onthe peace and order conditions of the said municipality. Judge Dimaano stated t

hat there has never been an intention to refuse access to official court records; that although court records are among public documents open to inspection notonly by the parties directly involved but also by other persons who have legitimate interest to such inspection, yet the same is always subject to reasonable regulation as to who, when, where and how they may be inspected. He further asserted that a court has unquestionably the power to prevent an improper use or inspection of its records and the furnishing of copies there from may be refused where the person requesting is not motivated by a serious and legitimate interest but acts out of whim or fancy or mere curiosity or to gratify private spite or topromote public scandal.The New Constitution now expressly recognizes that the people are entitled to information on matters of public concern and thus are expressly granted access to official records, as well as documents of official acts, or transactions, or deci

sions, subject to such limitations imposed by law. 4 The incorporation of this right in the Constitution is a recognition of the fundamental role of free exchange of information in a democracy. There can be no realistic perception by the public of the nation's problems, nor a meaningful democratic decision making if they are denied access to information of general interest. Information is needed to enable the members of society to cope with the exigencies of the times. As hasbeen aptly observed: "Maintaining the flow of such information depends on protection for both its acquisition and its dissemination since, if either process isinterrupted, the flow inevitably ceases. " 5 However, restrictions on access tocertain records may be imposed by law. Thus, access restrictions imposed to con


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trol civil insurrection have been permitted upon a showing of immediate and impending danger that renders ordinary means of control inadequate to maintain order.JUDICIAL RECORDSLibrarians records

*Decisions*Issuances and other pertinentregulations (Last Claphil Convention)

*Records Rep. Act No. 9470, Art. 1, sec. 4(x)Information whether in its original

form or otherwise, includingdocuments, signatures, seals, texts,

images, sounds, speeches, or datacompiled, recorded, or stored

Librarians recordsInventory/Accession Record

Card CatalogIndexes

CUSTODY OF COURT RECORDSClerk of CourtATTY. GENEROSO LEGASPI, JR.vs.ATTY. J. ROGELIO T. MONTERO III, Clerk of Court, MTC in Cities, San Jose del Monte City, Bulacan

A.M. No. P-05-1986 April 15, 2005Administrative complaint against the Clerk of Court for grave misconduct and infidelity in the custody of documents relative to a criminal caseJustice Callejo opined that no ill motive was attributed to Atty. Montero and the records of the case were eventually found but was still fnedP5,000.00Case was chosen for it explained the importance of court records and the due diligence that must be performed by the court official who has custody to said

recordsJustice Romeo Callejo Jr. statedUnder the 2002 Revised Manual for Clerks of Court,9 the branch clerk of court asthe administrative officer of the court, among others, controls and supervises the safekeeping of court records.10 Moreover, Section 7, Rule 136 of the Rules ofCourt specifically mandates the clerk of court to "safely keep all records, papers, files, exhibits and public property committed to his charge." As custodian ofthe records of the court, it is the duty of the clerk of court to ensure not only that the same are safely kept in his or her possession, but also those they will be readily available upon the request of the parties or order of the court.11Indeed, the clerk of court is an essential officer of our judicial system. As aranking officer of the court, he performs delicate administrative functions vita

l to the prompt and proper administration of justice.12 As custodian of judicialrecords, it is incumbent upon the clerk of court to ensure an orderly and efficient court management system in the court, and to supervise the personnel underhis office to function effectively. A clerk of court plays a key role in the complement of the court and cannot be permitted to slacken his job under one pretextor another.13 In fact, it has been held that branch clerks of court are chieflyresponsible for the shortcomings of subordinates to whom administrative functions normally pertaining to the branch clerk of court were delegated.14 Hence, clerks of court must be assiduous in performing official duty and in supervising and managing court dockets and records.15


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CUSTODY OF COURT RECORDSJudge

RODRIGO Q. TUGOT vs. Judge MAMERTO Y. COLIFLORESA.M. No. MTJ-00-1332. Feb.16, 2004

This administrative case against Judge Mamerto Y. Coliflores of the MTCin Cities (Branch 1) of Cebu City for gross ignorance of the law, knowingly rendering an unjust judgment, infidelity in the custody of public records/documents, and violation of Section 3 (e) of Republic Act No. 3019, relative to Civil Case No. R-35137 entitled Rodrigo Tugot, et al. vs. Fely Lausa, et al. for Ejectmentwas filed by Rodrigo Q. Tugot in in Letter-Complaint dated October 14, 1998. Itwas indorsed by the Office of the Ombudsman to the Office of the Court Administrator (OCA) on 18 November 1998Negligence in the Performance of an Administrative Responsibility

Respondent judge should also be sanctioned for misplacing complainants Notice of Appeal. As administrative officers of the courts, judges should organizeand supervise court personnel to ensure the prompt and efficient dispatch of business, as well as the observance of high standards of public service and fidelity at all times.[17] He should adopt a system of records management, so that files are kept intact despite the temporary absence of the person primarily responsible for their custody.In this case, the misplacement of the Notice of Appeal indicates gross negligence. Respondent should have been more prudent in determining the cause of its temporary loss, which caused unnecessary inconvenience to complainant, whose right toappeal was affected.

Considering that he has already retired from service, suspension is no longer a feasible penalty.Judge Mamerto Y. Coliflores was found guilty of negligence and violation of a Supreme Court Rule and directive, was FINED P20,000, to be deducted from his retirement benefits.

CIRCULAR LETTERGUIDELINES ON DISPOSAL AND RETENTION OF RECORDS OF RURAL/COOPERATIVE BANKS (2002)

To guide rural/cooperative banks in the disposition of their records and documents which no longer need to be retained and in determining which of the records are of permanent value and therefore should be preserved, the following guideline

s on the disposal and retention of records of rural/cooperative banks are herebyissued:A. Classification of Records and Documents Retention Period1. Accounting Recordsa. Books of Accounts, Audited PS, Annual Reports Permanentb. Tickets and supporting papers 10 yearsc. Official receipts (2nd or 3rd copy) 10 years2. Organizational papers for the establishment of rural/ cooperative bank, branches/offices (organizational file), special license/s authority granted by BSP (e.g. authority to accept D/D, government deposit, fringe benefit plan) Permanent3. Manual of operations, including compliance system, policies on personnel, security and other related matters Permanent4. Stock and transfer book and related records and documents PermanentReports to BSP(Financial and non-financial reports) 6 years

9. Reports to other government and non-govt. institutions Minimum of 6 years oras prescribed by the institution concerned10. Records and documents with court cases/complaints PermanentClassification of Records and Documents11. Documents, certificates of ownership/titles on bank assets Permanent12. All other records/documents of all transactions, e.g. loans and investments,disposal of assets, deposit liabilities and borrowings, expenditures and income, disbursements, disposal of assets 10 years from dates when accounts were closed/disposed/settledNotwithstanding the aforementioned retention periods, banks may preserve for a l


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onger period those records/documents they deem necessary.B. Procedural requirements on disposal of banks records and documents1. No rural/cooperative bank shall dispose of any records without the prior appits board of directors.2. Notice for disposal of records and documents in the DRB-prescribed form (Forwhich shall include the proposed date of disposal and list of the records and documents to be disposed of in accordance with the above guidelines shall be submitted to the Dept. of Rural Banks within 10 banking days from date of approval ofthe board of directors. A copy of the afore-cited board resolution duly certified by the banks corporate/cooperative secretary should likewise be attached to theNotice.The bank may proceed to dispose of the records and documents in the submitted list if after thirty (30) banking days from date the notice required herein shallhave been received by DRB, no advice against such notice has been received by the bank concerned.3. All records and documents for disposal must be burned or shredded in the presence of a director of the bank duly designated by the board of directors, the Chief Operating Officer or equivalent rank and Compliance Officer.4.The designated director, the Chief Operating Officer (or its equivalent) and the Compliance Officer shall execute a joint affidavit (Form No. 2) attesting to the burning/shredding of the records/documents. The original and triplicate copiesshall be kept permanently by the Treasurer or Cashier and the duplicate copy shall be submitted to DRB within ten (10) banking days from date of actual disposal.

For strict compliance.Adopted: 13 March 2002(SGD.) R.P. LIRIOManaging Director/Sector-In-Charge

REPUBLIC ACT NO.9470with Implementing Rules and Regulations (May 21, 2007)AN ACT STRENGTHENING THE SYSTEM OF MANAGEMENT AND ADMININISTRATION OF ARCHIVAL AND RECORDSART. III MANAGEMENT OF PUBLIC RECORDS

SEC. 18 Disposal of Public RecordsSEC.19 - Authority for the Disposition of Public

RecordsSEC. 20 Transfer of Public Records

SEC. 21 Deferred Transfers of Public RecordsSupreme Court of thePhilippinesCIRCULARS on the DISPOSAL AND/OR DESTRUCTION OF COURTRECORDS, PAPERS AND EXHIBITS

ADMINISTRATIVE ORDER NO. 10 (April 29, 1981)Administrative Order No. 120-2007 (July 7, 2007)Administrative Order No. 170-2008 (Nov. 11, 2008)

ADMINISTRATIVE ORDER NO. 10 (April 29, 1981)DISPOSAL AND/OR DESTRUCTION OF COURT RECORDS, PAPERS AND EXHIBITSTo establish a uniform procedure in the disposal or destruction of records, pape

rs and exhibits pertaining to court cases terminated for at least fifteen (15) years, it is hereby provided that the Court of Appeals, Sandiganbayan, Court of Tax Appeals, Courts of First Instance, Circuit Criminal Courts, Juvenile and Domestic Relations Courts, Courts of Agrarian Relations, City and Municipal Courts shall follow the following rules:Notice of the intention to dispose of and/or destroy court records, papers and exhibits should be made known to all interested parties by publication in a newspaper of general circulation, once a week for two (2) consecutive weeks;Such notice should likewise be posted for two (2) weeks in three (3) public places, such as the provincial capitol, the city or municipal hall, the public marke


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t and the court house;Such court records, papers and exhibits to be disposed of and/or destroyed should pertain to cases already terminated for at least fifteen (15) years;Any party or counsel of record interested in withdrawing any record or exhibit intended to be disposed of and/or destroyed may file the corresponding motion forsuch purpose before the scheduled date of disposal and/or destruction;5. The destruction shall be carried out not earlier than one (1) month fromand after the date of the last publication, which shall be done by selling or burning said records, papers and exhibits, or by some other practicable manner;6. The sale shall be conducted in the presence of the Executive Judge or the Clerk of Court and the Resident Auditor of the lower courts. If the sale is made in provincial courts, the Executive Judge and the Clerk of Court shall be present during the conduct of the sale with the representative of the Commission onAudit in the Area;7. The Clerk of Court shall issue the official receipt to the buyer of theold court records, papers, or exhibits;8. The Clerk of Court shall report to the Court Administrator the collection in a separate report of collection, specifying the nature of the income; &9. The Clerk of Court shall remit to the National Treasury the proceeds from the sale under a separate Remittance Advice to the credit of the Courts of First Instance, with notice of such remittance furnished the Court Administrator.

Strict observance of the above rules is hereby enjoined.This order supersedes any previous administrative order or circular issued on the matter.

(Sgd.) ENRIQUE M. FERNANDOChief Justice

ADMINISTRATIVE ORDER NO. 10 April 29, 1981- ContinuedAdministrative Order No. 120-2007 (July 7, 2007)

GUIDELINES IN THE DISPOSAL AND/OR DESTRUCTION OF COURT RECORDS, PAPERS AND EXHIBITSAdministrative Order No. 170-2008 (Nov. 11, 2008)

REVISED GUIDELINES IN THE DISPOSAL AND/OR DESTRUCTION OF COURT RECORDS, PAPERS A

ND EXHIBITS

MAJOR DIFFERENCES OF THE 3 CIRCULARSADMINISTRATIVE ORDER NO. 10 (April 29, 1981)

by Chief Justice Enrique M. FernandoAdministrative Order No. 120-2007 (July 7, 2007Administrative Order No. 170-2008 (Nov. 11, 2008)

by Chief Justice Reynato S. PunoMajor differences lie between Adm. Order No. 10 s. 1981 and the two Administrative Orders of Chief Justice PunoAdministrative Order No. 120 & 170 are almost the same except:

- Administrative Order No. 170 added the pertinent provision of Rep. Act No. 9470 which was enacted almost at the same time

(No. 3, 5,8)- No. 1 last sentence - In addition, a duplicate original copy of each

decision must be sent to the Supreme Court Library to preserve the repositorialvalue of judicial statements set forth therein.

AO 10120-2007170-2008


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Age15 yrs7 yrs7 yrsCourt recordsDispose allRetain someRetianssomeDecisionsNo provArchivesArchivesSC LibNoticeInterested partiesOCA30 daysOCA30daysAuthorityED Ntl ArchivesPostingNewspaper1 for 2 wks

30days at HOJ,Prov. Municipal Capitol, Post OfficesameAO 10AO 120-2007AO 170-2008Notice to interested to retrieveParties or counsel1 mo.Parties orCounsel30 dayssamePeople present

PF/EJ,COAPF/EJ,COAPJ/EJ,CC,NA,COA RepCertificatesNAP 3-5saleCC issues OR, remit to National TreasuryCC issues OR, JDFCC issues OR, JDFDisposal reportNo provision30 days after

30 days afterRETENTIONADMINISTRATIVE ORDER No. 10

Everything is DisposedAdministrative Order No. 120-2007Administrative Order No. 170-2008

Court records, documents, exhibits are disposedActual Decision Local Records Office &

Supreme Court LibrarySIGNIFICANCE TO LIBRARIANS


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A.1. Decisions - Availability to the Public specially the Old decisions of the lower court Posting2. DigitizationA.2 Librarians RecordsInventory/Accession Record

a. COA Renewalb. Transfer from Judgec. Disposal Reports - Accountability

Card CatalogIndexesJudicial and Librarian RecordsWhat records must a Court Librarian Retain and What must be Disposed or Transferred?

Decisions RetainedDigitization - CDS

A.2 Librarians RecordsInventory/Accession Record Retained but A Copy is Submitted Annually - DIGITIZED

a. COA Renewalb. Transfer from Judgec. Disposal Reports - Accountability

Card CatalogIndexes - DIGITIZED

ANSWERRETAIN ALL JUDICIAL AND LIBRARIANS RECORDSTRANSFER DUPLICATES such as

CDs of Digitized decisions or theannual inventory

DISPOSE - NON- JUDICIAL AND LIBRARIANS RECORDS

THANK YOU