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Section No.
~6 C"o RECORDS SECTION MANUAL
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Revision No. 00
~ERC~Section: Effectivity Date:
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TABLE OF CONTENTS
Subiect No.
Page No:
 \)v.TO~.•. Section No. 1
i(,0 ('0 RECORDS SECTION MANUAL
Jo.qf \
Revision No. 00
~IERC~
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Effectivity Date:
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INTRODUCTION
Subject No. 1
GENERAL PROVISIONS Paae No:1 of 2

PURPOSE

The Energy Regulatory Commission Records Section Manual is a compilation

of the policies and implementing procedures of the Records Section of
Finance and Administrative Services. Its primary purpose is to inform the
employees of the policies and the corresponding procedures governing the
Energy Regulatory Commission.

SCOPE

The Manual includes the policies and procedures governing Energy

Regulatory Commission. It is divided into major sections and further
subdivided into subjects. Specific subjects are fully explained in the following
format:

1. Policy Statements
2. Policy Guidelines
3. Definition of Terms
4. Procedure Details
5. Notes
6. Reference
7. Records

. REVISIONS

Revisions to the policies included in this Manual shall be subject to the

approval of the Commission en Banc, while the Chief Executive Officer, upon
recommendation of the Executive Director approves the revisions to the
procedures. The Finance and Administrative Services in coordination with the
Internal Audit Unit are responsible for affecting and attesting changes to this
Manual that the Chief Executive Officer may authorize from time to time.

DISTRIBUTION AND CUSTODIANSHIP

This Manual belongs to the Energy Regulatory Commission and is issued to

authorized copyholder who is responsible for its updating and safekeeping.
Entitlement to hold copy of this Manual is granted based on the position and
should remain so regardless of the person as the occupant. The copyholder
should make this Manual available to the personnel in need of it in the
performance of his assigned task.
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Section:
RECORDS SECTION MANUAL
Revision No. 00
Effectivity Date:
~ •.. INTRODUCTION
.~. Subject: Subject No.1
GENERAL PROVISIONS Page No:2 of 2
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DISTRIBUTION AND CUSTODIANSHIP Cont'd

Each copy of this Manual is registered by number with the Internal Audit Unit
under the name of the occupant of the position entitled to have possession of
a copy of this Manual. Should the occupant be transferred to another position
within or intends to sever employment with the Energy Regulatory
Commission, said Officer must advise the Internal Audit Unit through a
Memorandum in two (2) copies of said occurrence at least five (5) days prior
to the intended transfer or severance. Notice to the Internal Audit Unit is
intended to facilitate clearance of accountability over this Manual.
 ~v.TOIi'.•.. Section. No. 1
~(j <'0 RECORDS SECTION MANUAL
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~ERCD Section: Effectivity Date:
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INTRODUCTION
Subiect No.2
ROLE OF THE RECORDS SECTION Page No: 1 of 1

The Records Section of the General Administrative Division under the

Finance and Administrative Service is responsibleforthe receipt, custody and
disposition of records, other than those petitions/applications, compliances,
motion and such other pleadings or documents filed in relation to active case
in the Docket Section.

The Records Section specifically handle the proper recording and filing of
incoming and outgoing correspondence, publications and other documents,
the maintenance of a complete and updated records retention and disposition
schedule, provides services relative. to the mailing and delivery of
correspondence and other functions relative to records
managemenUcustodianship.
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RECORDS SECTION MANUAL
Section. No. 1
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Revision No. 00
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INTRODUCTION
Subiect No. 3
MANUALCOPYHOLDERS Pace No: 1 of 1

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AUTHORIZED COPYHOLDERS

Chainnan/CEO RSM-01

Commissioners - RSM-02

Executive Director - RSM-03

Director, Office of the General Counsel and Secretariat - RSM-04

Director, Consumer Affairs Service - RSM-05
Director, Financial and Administrative Service - RSM-06
Director, Legal Service - RSM-07
Director, Market Operations Service - RSM-08
Director, Planning and Infonnation Service - RSM-09
Director, Regulatory Operations Service RSM-10

Officer-in-Charge, Mindanao Field Office - RSM-11

Officer-in-Charge, Visayas Field Office RSM-12

Records Section - RSM-13

Chief, Administrative Division - RSM-14

Internal Audit Unit

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 \)\..I'TOIi')- Section No. 2
~o C'o RECORDS SECTION MANUAL
<' ••. Revision No. 00
~lERCJ Section: MAIL ADMINISTRATION and Effectivity Date:
~.~." Subject:
MESSENGERIAL SERVICE SYSTEM
Subiect NO.1
GENERAL POLICY Pace No:1 of 1

POLICY STATEMENT

INCOMING DOCUMENTS

Receipt of any incoming official documents (hard and soft copies), other than
petitions/applications, compliances, motion and such other pleadings or
documents filed in relation to active case, shall be made only through the
Records Section.

Letters and other documents personal in nature (i.e. credit cards, insurance,
money order and billing statements) shall be accepted but shall be endorsed
directly to the, personnel concerned: --

Any submission of application/ pleading/motion or any other paper in

connection with any case under the quasi-judicial authority.pHhe Commission
shall be received by the Docket Section.

OUTGOING DOCUMENTS

Release and/or delivery of all documents shall be made through the Records
Section within the prescribed cut-off schedule.

As a rule, the release and/or delivery of these documents shall be done

through the registered mail. However, outgoing documents such as notices of
hearing, payments and remittances, which demand priority, shall be sent by
messenger of this Commission, where practical.

For lawyers/utilities and other business entity/ties), who would prefer to pick
up letters/orders addressed to them, a telephone advice shall be given as
soon as letters/orders is received. If the addressee is unable to pick up the
letter/orders until the following day, the documents shall be sent by registered
mail or through the Commission's messenger if immediate delivery is
required.
 Section. No. 2
RECORDS SECTION MANUAL
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MESSENGERIAL SERVICES ;SYSTEM
Revision No.1
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October 2011
Subject: , Subect No.2
(WflOl iEGULAl1lI'iltwllllllflll, i'HIU'~~[\ INCOMING DOCUMENTS Pa e No: 1 of4

I. POLICY

Without any unnecessary delay, all incoming documents received by

the Records Section shall thereafter be turned over to the Executive .
Director, who shall send or route the same to Concerned Service of the
Commission for appropriate action.

II. POLICY GUIDELINES

1. No employee shall take it upon himself (that is, if he is not assigned

to the Records Section) to receiVe anything addressed to the
Commission, as it would disrupt the normal flow of documents.

2. The Records Section sh.all maintain a recording of all documents

received by the Commission.

III. DEFINITION OF TERMS

Contractual - refers to a person who undertakes a specific work

or job for a limited period not to exceed one year.
The frontliner of the Records Section.

Courier, - refers to an employee of the sender dispatching

Messenger, documents to ERC.
and or
Postman

ED - refers to the Executive Director.

Messenger - refers to a permanent employee who delivers

and/or collects documents, office correspondence,
packages, materials and the like as
required/directed and ensures the security of said
materials, packages, documents and
correspondence before destination is reached.

RO II - refers to the Records Officer II.

Security refers to Official Guard on duty assigned every .

Guard floor.
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RECORDS SECTION MANUAL
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Section. No. 2
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MESSENGERIAL SERVICES ;SYSTEM October 2011
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!IIEINl1 R£GUIITGRY10lIll1ll10!l, "'llI~IN[I INCOMING DOCUMENTS Pa e No: 2 of A

IV. PROCEDURE DETAILS

RESPONSIBILITY ACTION INTERFACE

Couriers /
Receive
RO II/Messenger/ Documents Postmen /
Contractual Messengers

See Note 1

Sort/Ciassify
RO II/Messenger/ Documents
Contractual

See Note 2

RO II/Messenger/ Encodein DTS

Contractual and PrintReport

See Note 3 & 6

Messenger/ ForwardfTransmit Office of the ED/

Contractual the Documents Concerned
Service

Sec Note 4-5

File Reportof
RO II/Messenger/ Incoming
Contractual Documents
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RECORDS SECTION MANUAL
Section: MAIL ADMINISTRATIQN~nd
MESSENGERIAL SERVICES SYSTEM
Section. No. 2
Revision NO.1
Effectivity Date:
October 2011
Subject: Sub'ect NO.2
tN!mil RIGULITfll! ltl\1l1LlllOLl • i'lIlUPP1N1l INCOMING DOCUMENTS Pa e No: 30fA

Note 1: Indicate the date and hour of receipt of official documents on the
receiving copy of the courier/messenger/postman (if required).

Note 2: a. Separate the official documents, return cards of official

documents and personal letters.
b. Open only the official documents and stamp "received" on the
upper right portion of the documents.
c. Forward indeterminate incoming documents to Concerned
Services for proper disposition.
d. Require Concerned Services to return the indeterminate
documents to Records Section for posting if found official.
e. Stamp "received" on the returned card for return to post office on
the following day.

Note 3: a. Place barcode sticker (white background sticker) to the upper

right hand portion of official documents received for the day and
ensure that the sticker shall not cover the ERC "received"
stamp.
b. Encode the official documents in the Incoming Document
Window Pane of the Document Tracking System (DTS).
c. Switch on the light source of the handheld barcode scanner by
, pressing the trigger button to read and register the printed
barcode in the DTS Incoming Document Window Pane.
I
.1 d. Manually encode all other information required in the
I "Today's/New Incoming Document" menu.
e. Print Report of Incoming Documents for all the receipted official
I documents for the day through the Reports Page of the DTS.

Note 4: Attach the printed report to the batch of incoming official documents
for transmittal to the Office of the Executive Director.

Note 5: a. ForwardlTransmit the incoming official documents received to

the Office of the Executive Director.
b. Ensure that the signature of the receiving personnel assigned in
the Office of the Executive Director is affixed in the printed
Report of Incoming Documents.
c. File the printed Report of Incoming Documents in the Incoming
Document File for future reference.
 Section. No. 2
RECORDS SECTION MANUAL
Revision NO.1
Section: MAIL ADMINISTRATION,and Effectivity Date:
MESSENGERIAL SERVICES SYSTEM October 2011
Subject: Sub'ect NO.2
IHflllil !(GULllOlll11Jllll1ll11lJ<, t1iIUPPIUtl INCOMING DOCUMENTS Pa e No:4 of A

Note 6: a. Create barcode batch using the Admin Panel Window Pane of
the DTS and shall follow the following sequence:
1-XXXX-XXXXXXXXX

LOCA~OJ OF OFFICE 1- Head/Central Office, 2- Visayas Field Office

~ (VFO) and 3- Mindanao Field Office (MFO)]

YEAR CODE (e.g. 011)

CONTROL NUMBER (9 Digits)

b. Print the barcodes on BarTender printer.

c. Use the White background sticker for Incoming Documents and
Red background sticker for Outgoing Documents.
d. Request for supply replenishment of barcode stickers shall be
primarily endorsed to the Management Information System
Division (MISD) of the Planning and Information Service (PIS)
for proper notation in the Information and Communication
Technology Budget of the Information Systems Strategic Plan of
the Commission.

V. REFERENCE

Office Order No. 99-08

Document Tracking System (DTS) User Manual

VI. RECORDS

Records Section's Incoming File Folder

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.. ~ Section: MAIL ADMINISTRATIVE and Effectivity Date:
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MESSENGERIAL SERVICE SYSTEM October 2011
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Subject: OUTGOING DOCUMENTS - Subect No.-4
fN!n!il 116OlAI0I1 tllllil!!IOiI.IllIUPI'IUt I OTHERS Pa e No: 1 of 8

I. POLICY

Records Section shall only receive and release documents provided

with the required attachment/(s), properly authorized by the
approving authority and provided with appropriate labeled mailing
envelope.

II. POLICY GUIDELINES

1. No employee shall take it upon himself (that is, if he is not

assigned to the Records Section) to receive or release anything
addressed to or emanating from this Commission, because then
it would disrupt the normal flow of documents.

2. Without any unnecessary delay, all outgoing documents such as

Letters, Orders, Decisions, Resolutions and Statement of
Accounts shall be released within three (3) days from receipt of
documents. On the other hand, documents requiring urgent
attention shall be sent or released within one (1) day from
receipt. .

3. All outgoing documents transmitted to the Records Section shall

be provided with mailing envelope complete with the name and
address of the addressee using,the prescribed ERC template.

4. Two (2) extra copies of the outgoing documents shall also be

provided to Records Section.

5. The Records Section shall maintain an appropriate

logbook/outgoing control folder, separate file folder for the
mailing list and file copy/(ies) of all outgoing documents.

6. Special messenger trips to collect or deliver mail' that is so

urgent or important in nature and, which requires immediate
action that it cannot wait for the next regular run of the
messenger shall ALWAYS be accompanied by a REQUEST
FOR MESS ENG ERIAL SERVICE properly authorized by the
Director of concerned Service.

7. A cut-off time of 9:00 AM shall be implemented for receipt of

documents for delivery by the Records Section.
 Section. No. 2
RECORDS SECTION MANUAL
Revision NO.1
Section: MAIL ADMINISTRATIVE and Effectivity Date:
MESSENGERIAL SERVICE SYSTEM October 2011
Subject: OUTGOING DOCUMENTS - Sub'ect NO.4
1lI!1tl1 i!GUllfOll 10llMltlillii .1H11IPMN~ OTHERS Pa e No: 2 of 8

III. DEFINITION OF TERMS

Contractual refers to a person who undertakes a specific work or

job for a limited period not to exceed one year. The
frontliner of the Records Section.

Driver refers to a contractual/permanent employee who

drives officers/employees of ERC to their prescribed
routes.

I Express Mail refers to priority mail service with high mailing cost
I
I based on the Postage Rates Schedule.
I
I FAS refers to Financial and Administrative Services.
I
j Handcarried Mail - refers to mail personally delivered by the messenger
! to the addressee.
I Mailing List refers to the list of all outgoing documents for
mailing.

Messenger refers to the permanent employee who delivers/

collects, and ensures the security of the documents,
office correspondence, packages, materials to the
specified addresses.

Ordinary Mail refers to mail with lower mailing cost based on the
Postage Rates Schedule.

I
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Permanent refers to the employee of the Commission who
I' Employee meets the minimum qualification requirements of the
position to which he is being appointed.

Petty Cash - refers to the form used in requesting for a petty cash
Voucher advance.

RO II refers to the Record Officer II.

Registered Mail refers to the mail with return card and recorded on
the Post Office's Book of Registry.
 >- RECORDS SECTION>MANUAL
Section> No, 2

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.} , Section MAIL ADMINISTRATIVE and Effectivity, Date:
• < •
MESSENGERIAL SERVICE SYSTEM October 2011
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Subject: OUTGOING DOCUMENTS - Sub'ect NoA
flifloll[GUIATOIV 1000Ul!ll0li ,1l!11I~U£l OTHERS Pa e No: 3 of 8

IV. PROCEDURE DETAILS

RESPONSIBILITY ACTION INTERFACE

8 ~

Messenger/ Receive Concerned

Documents
Contractual Services

See Note 1,2 &.3

RO II/Messenger Classify/Sort Concerned

Documents Services
Contractual

Sec Note 4

Encodein DTS
and PrintReport
Messenger/
Contractual
See Note 5 & 9

FAS Director/
Dispatch/Deliver Division Chief-
Messenger/ Outgoing
Contractual Documents Adm.lHR
Post Office Clerk
See Note 6-7 Driver
Transmit/Forward
the receiving
Messenger/ copiesof letters/ Concerned
Contractual decisions/ orders Services
to Concerned,
Services
See Note 8

FileReportof
RO II/Messenger Outgoing
Contractual Document
 Section. No. 2
RECORDS SECTION MANUAL Revision NO.1
. Section: MAIL ADMINISTRATIVE ?nd EffectivityDate:
MESSENGERIAL SERVICE SYSTEM October 2011
Subject: OUTGOING DOCUMENTS- Sub'ect NO.4
!N!!lilllGUll101Y (IilMllllillJ , PlIIUPPIMII OTHERS Pa e No:4 of 8

Note 1: Ensure that mailing envelope follow the ERC prescribed envelope
template upon receipt of documents for mailing.

Note 2: Mails for MERALCO, Office of the Solicitor General (OSG) and
Commission on Audit (COA) are usually handcarried.

Note 3: Ensure that a Request for Messengerial Service is attach to

documents if to be handcarried.

Note 4: Classify the documents according to the following type of mail or

delivery:
a. Registered Mail d. Handcarried Mail
-b. OrdinaryMaile. LBCIDHL
c. Speed Mail

Note 5: a. Place barcode sticker (red background sticker) to the upper right
hand portion of official outgoing documents to be released for
the day.
b. Encode the details of outgoing documents in the Outgoing
Document Window Pane of the Document Tracking System
(DTS).
c. Switch on the light source of the handheld barcode scanner by
pressing the trigger button to read and register the printed
barcode in the DTS Outgoing Document Window Pane.
d. Manually encode all other information required in the
"Today' sINew Outgoing Document" menu.
e. Print Report of Outgoing Documents for all the outgoing
documents for the day through the Reports Page of the DTS .

.Note 6: Separate outgoing documents for mailing and handcarried mails

and log in the appropriate logbook.

I. Mailing:
a. Sort envelopes according to type of mailing to be done.
b. Stamp "Registered Mail" on the envelope if via registered
mail and "Express Mail" if via express.
c. Attach the mailing retum card with sender, date of letter,
addressee and case number indicated (as applicable) for
registered mail/(s) .
. d. Place the documents in the envelope and seal.
e. Weigh each envelope to determine the cost of mailing and
postage stamps denomination.
 Section. No. 2
• RECORDS SECTION MANUAL Revision NO.1
Section: MAIL ADMINISTRATIVE and Effectivity Date:
.MESSENGERIAL SERVICE SYSTEM October 2011
Subject . OUTGOING DOCUMENTS - Sub'ect NO.4
IIIlronE6UlAlflilYCIlIIililiOH .IlIIUPMH£I 0 TH E R S Pa e No: 5 of 8

Note 6: (Continuation)

I. Mailing:
f. Place control number for Registered Mails on the lower
corner of the envelope. The number series starts from 001
every year.
g. Paste the corresponding postage stamps to the envelope.
h. Sort the envelope according to stamps denomination.
i. Prepare (using Excel) Mailing List Form (5 copies) indicating
the following: registry number, addressee, address,
particulars, type of mail and amount of stamps.
i1. Retain one (1) copy on file and bring the four (4) copies to
Ortigas post office;
i2. Get two (2) copies from Ortigas post office - one (1) for
file and the other one (1) for attachment to
replenishment of petty cash fund for stamps;
i3. Shred the copy with no received stamp and replaced
with stamp received from Ortigas post office.

II. Handcarried Mail:

a. Ensure two (2) reproduced copies (receiving copy and extra
i!
copy) are provided in addition to the original copy to be
I,
Ii transmitted to the addressee.
r b. Attach the receiving copy and place the original copy in the
ii envelope, then seal.
I c. Ensure that the date of receipt and name of recipient is
properly affix on the receiving copy.

III. LBC/DHL Mail:

a. Prepare List of Mail Enclosure (3 copies- 2 for respective
field offices and 1 for file) listing all the documents for
shipping to Visayas and Mindanao Field Office.
b. Prepare Petty Cash Voucher (PCV) form in duplicate for
cash advance re: shipping cost either through DHLlLBC.
c. All PCV relative to cash advance for mailing through
LBC/DHL Mail shall be accompanied by a Request for
Messengerial Service (RMS) Form correspondingly
approved by the Director of the requesting Service.
d. Forward the PCV to the Division Chief of Admin.lHR for
approval prior to presentation to Petty Cash Custodian for
the cash advance.
 Section, No. 2
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RECORDS SECTION MANUAL
.Section: MAIL ADMINISTRATIVE ,and
Revision NO.1
Effectivity Date:
~ MESSENGERIAL SERVICE SYSTEM October 2011
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!HEnGl ifGULAlDiIY !OI/NII!IO> , n1ll1PM~ll OTHERS Pa e No: 6 of 8

e. Mail to LBC/DHL as soon as receipt of cash is received, All

mailing done through DHLlLBC shall always include checks
required by respective field offices to justify mailing through
this facility.
f. File return copy of List of Mail Enclosure with the
corresponding receipt of the respective Field Offices.

Note 7: a. Prepare Request for Vehicle to be countersigned by the FAS

Director and/or Division Chief of Administrative/Human
Resource should the Messenger (ERC permanent employee)
require the use of the Commission's vehicle. A file copy of the
Request for Vehicle shall be retained in the Records Section,
b, For mailing, ensures the following a:') the "Received" stamp;
b,) the signature of the Post Office Clerk; and c,) date of receipt
is reflected on the mailing list
c. Secure Registry Receipt from Post Office (Ortigas Post Office or
Strata Post Office) for mailed documents.
d. For handcarried mail, ensures that the receiving party reflects
his signature and date of receipt on the receiving copy of
Letters, Decisions, Orders, Resolutions and Statement of
Accounts,
e. Scheduling (Fixed) of messengerial service follows:

AREAS OF DELIVERY SCHEDULE

Orligas Area, Manila, Makati, Pasay, Monday, Wednesday
Paranaque
Orligas Area, Quezon City, Mandaluyong, Tuesday, Thursday
Other parts of Pasig
Ortigas Area Friday

However, frequency of messengerial service is to be dictated by

the volume of mails received within the day.

Note 8: a. File the Registry receipts, mailing list and file copy/(ies) of
documents mailed or handcarried to appropriate folder.
b. Check Messengerial Logbook to ensure delivery is done for
hand carried mail. " .
c. Log in the appropriate Records Section's Logbook and in the
CaselDocument Tracking System.
d, Return to Concerned Service their receiving copy/(ies) and
ensure that the Service's receiving clerk sign the Record
Section's logbook/printed Report of Outgoing Document
(whichever is applicable).
 Section. No. 2
RECORDS SECTION MANUAL Revision NO.1
Section MAIL ADMINISTRATIVE and Effectivity Date:
MESSENGERIAL SERVICE SYSTEM October 2011
Subject OUTGOING DOCUMENTS - Sub'ect NO.4
[HEIGl I!GUllTIliY 1000MIllI0lJ, AlllI'~HEI OTHERS Pa e No: 7 of 8

Note 9: a. Create barcode batch using the Admin Panel Window Pane of the
DTS and shall follow the following sequence:
1-XXXX-XXXXXXXXX

COCA'.::oJOY"'CE i'- H""'C,",,,, Offi~,,- ~","' FieldOffi~

VFO) and 3- Mindanao Field Office (MFO)]

YEAR CODE e.g. 2011)

CONTROL NUMBER (9 Digits)

. b. Print the barcodes on the BarTender printer.

c. Use the White background sticker for Incoming Documents and
Red background sticker for Outgoing Documents.
d. Request for supply replenishment of barcode stickers shall be
primarily endorsed to the Management Information System
Division (MISD) of the Planning and Information Service (PIS)
for proper notation in the Information and Communication
Technology Budget of the Information Systems Strategic Plan of
the Commission.

V. REFERENCE

OGCS Memo dated July 20, 2011

Office Order No. 99-08
Office Order No. 32, Series of 201 0 (Items No 15 and 16)
Document Tracking System (DTS) User Manual

VI. RECORDS

List of Mail Enclosure

Mailing List
Mailing Return Card
Postage Stamps
Receiving and Filing Copies
Registry Receipt
Request for Messengerial Services
Request for Vehicle
 Section, No, 2

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RECORDS ,SECTION' MANUAL
Revision No, 1
Section: MAIL ADMINISTRATIVE,and Effectivity Date:
,. \ ,
MESSENGERIALSERVICE SYSTEM October 2011
,,-, .
Subject: OUTGOING DOCUMENTS - Sub'ect No, 4
IH!l6Y iEfiUllTOiV(MiIISIIll! .1H11I'~ifl OTHERS Pa e No: 8 of 8

VI. RECORDS (Continuation)

Records Section Logbook/File Folder

a, Messengerial Logbook
b, Cases Logbook (one for PU and one for Coops)
c, Correspondence Logbook (one for PU and one for Coops)
d, Statement of Accounts Logbook
e, Return Card Logbook
f, Miscellaneous Logbook
g, Logbook for ED/CEO
h. Report of Outgoing Documents File Folder

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I:
II
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II,
 Section No. 3
RECORDS SECTION MANUAL
Revision NO.2
Section: . " Effectivity Date:
POSTAGE STAMP MANAGEMENT October 20 11
Subject PETTY CASH FUND - Sub'ect NO.1
fHflGriffiUllTWYtIlllMllllOO ,IllIU'M~[1 POSTAGE STAM P Pa e NO.1 of A

I. POLICY

All mailing documents shall be provided with the corresponding stamp

denomination prior to the release from the Records. A Petty Cash
Fund was specifically set-up for the purpose which should follow
accounting and auditing rules and regulations in the replenishment of
subject fund. The fund shall be maintained under the Imprest System.

II. POLICY GUIDELINES

1. It is to be understood that Petty Cash Fund (PCF) remains to be the

property of the ERC and shall be surrendered or presented upon
demand by the Commission and to any authorized representative
either in the form of postage stamp denomination or approved petty
cash fund. The PCF shall be reconciled daily and any apparent or
real shortage/overage shall be reported directly to the
Administrative Officer/Division Chief.

2. The administration of the fund shall be entrusted to the Records

Officer II (bonded) who is in-charge of the safekeeping of postage
stamps and shall be responsible in case of a loss or if discrepancy
occurs.

3. Postage stamps in denominations of ~7.00, ~5.00, ~3.00, P2.00

and ~1.00 shall always be kept in a safety cabinet for safekeeping.

4. All cash received shall be used solely for the purchase of stamps
and should there be cases where the denomination of postage
stamp purchased are not available, the cash on hand shall be
returned to Cashier for safekeeping.

5. The PCF should be replenished whenever accumulated expenses

reached 75% of the total fund establish or as the need arises.

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 ~>"~' Section No, 3
.- RECORDS SECTION MANUAL Revision No, 2
Section: , Effectivity Date:
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POSTAGE STAMP MANAGEMENT October 2011
. ' Subject: PETTY CASH FUND - Sub'ect No, 1
IHIIIllY !EGU1A10lI 1000MIIII()JI. flIIUP~HII POSTAGE STAMP Pa e No, 20f4

III. DEFINITION OF TERMS

Accounting Clerk refers to a permanent employee who receives

incoming documents at the Finance Division,

Contractual - refers to a person who undertakes a specific work or

job for a limited period not to exceed one year. The
frontliner of the Records Section,

Detailed - refers to an employee temporarily moved from one

Employee department or agency to another which does not
involve a reduction in rank, status or salary.

Driver - refers to a contractual/permanent employee who

drives officers/employees of ERC to the approved
destination.

FAS - refers to Financial and Administrative Division.

Permanent refers to an employee of the Commission who meets

Employee the minimum qualification requirements of the position
for which he is being appointed.

Postage Stamp _ refers to the stamp purchased from Post Office in

denominations of 12.7,00, J2.5.00, J2.3.00, J2.2.00 and
J2.1.00.

RO II -' refers to the Records Officer II

 Section No, 3

.
,E'"- ,-"",
. :
RECORDS SECTION MANUAL
Section: ' "
Revision No, 2
Effectivity Date:
POSTAGE STAMP MANAGEMENT October 2011
, "
Subject: PETTY CASH FUND - Sub'ect No, 1
POSTAGE STAMP Pa e No, 3 of4

IV. PROCEDURE DETAILS

RESPONSIBILITY ACTION INTERFACE

Accounting Clerk
Replenish Cashier
RO ii/Bonded PettyCashFund Division Chief -
Employee Admin, Service
Driver
See Note 1

Encash! FAS Director

RO II/Bonded Purchase Driver
Employee PostageStamps Landbank &
Post Office
See Note 2 Personnel

Dispense! Detailed
Replenish
PostageStamps Employee
RO Ii Fund Contractual/
Messenger
Sec Note 3-4

Note 1: a, Retrieve from the file, copies of mailing list with original stamp of
Ortigas Post Office and official receipt of purchased stamp for
the period,
b, Prepare Report of Postage Stamp Used in four (4) copies and
Petty Cash Replenishment Report (PCRR)
c, Signs in the "CERTIFIED CORRECT BY" portion of both the
PCRR and the Report of Postage Stamp Used
d. Handcarry three (3) copies of Report of Postage Stamp Used
and PCRR, complete with attachments to 'FAS-Admin for
notation of the Division Chief and to FAS-Finance for
preparation of Disbursement Voucher.
e, File the remaining copy of the Report of Postage Stamp used for
reference,
 .
..--
,. -_.
.
.RECORDS SECTION MANUAL
Section No. 3

E
,
j:, " Revision NO.2
" , . Section: . . : Effectivity Date:
-~, ~ ~ October 2011
POSTAGE STAMP MANAGEMENT
.. . Subject PETTY CASH FUND- . Sub'ect NO.1
IN!IGTIIGUlAlOiI lnilll~ll(lJj ,fllIUP~1«1 POSTAGE STAMP Pa e NO.4 of4

Note 2: a. Receive check from Cashier for the replenishment of Petty Cash
Fund.
b. Prepare Request for Vehicle in two (2) copies and ensures that
the FAS Director countersigned the said request. Retain one (1)
copy for file.
c. Encash check to Landbank and proceed to post office (Ortigas
or Strata) for the purchase of stamps in denominations of 127.00,
125.00,123.00,122.00 and 121.00

Note3: a. Sort postage stamps according to denominations - 127.00,

125.00,123.00,122.00 and 121.00
b. Log the postage stamps purchased in the Logbook for Postage
Stamp UseB.

Note 4: a. Secure purchased postage stamps in a safety cabinet. (Records

Officer II who is the Senior Officer of the Records Section will be
responsible for the safekeeping of postage stamps)
b. Record the daily usage of postage stamps in the logbook for
Postage Stamps Used.

V. REFERENCE

Office Order Nos. 2010-011, 2007-004, 2005-47, 2005-03, 2002-15,

2000-58, 98-43
Section 176 Book III of the Government Accounting and Auditing
Manual (GAAM) for Cash Advances of Petty Operating Expenses.

VI. RECORDS

Mailing List
Official Receipt of Stamps Purchased
Petty Cash Replenishment Report
Records Section Logbook - Outgoing and Stamp Used
Report of Postage Stamp Used
Request for Vehicle
 \lv.TO~r
Section No. 4
~6 C"o RECORDS SECTION MANUAL
•• •• Revision No. 00
~JERC)
•. Section: Effectivity Date:
~
.~. Subject:
FILE MANAGEMENT
Subiect NO.1
GENERAL POLICY Paae No: 1 of 1

'J"

I
POLICY STATEMENT

Files of all closed cases and the original or signed copies of all other
correspondence, letters, etc. pertaining to matters acted upon and disposed of
by the Commission and at present in the custody of any Service shall be
transferred, together with their enclosure or annexes, if any, to the Records
Section for safekeeping.

()
 ~v.TO,..,. Section No. 4
~~ Co RECORDS SECTION MANUAL
Revision No. 00
fERCl
~ i
Section:
FILE MANAGEMENT
Effectivity Date:

"'-"'" Subject: Subiect NO.2

FILES OPERATION Paae No: 1 of 4

\
J
I. POLICY

Only the Records Officer and/or his duly authorized personnel shall
have the sole access to all office files and shall be directly responsible
for the security of these records at all time.

II. POLICY GUIDELINES

1. Storage/Mini Archives of records shall be maintained by the

Records Section arid must be kept clean at all times.

2. Files of all non-current records such as closed cases, etc.

pertaining to' matters acted upon and at present in the custody of
any office or Service, shall be transferred, together with their
enclosures or annexes, if any, to the Records Section for recording
and safekeeping.

3. Files of non-current records being transferred to Records Section

for safekeeping shall be properly file in a folderlbinder, arranged
accordingly, boxed and properly labeled.

4. Each transmittal for safekeeping of documents shall be

accompanied by a memo addressed to the FAS-Director and
correspondingly approved.

5. Any official or employee who shall, in the performance of his duties,

need any record of file kept by the Records Section, shall sign a
receipt upon issuance to him of the file or record requested. No
record or file whatsoever shall be taken out of the Records without
the requisitioner signing a receipt therefore.

6. Retention of general records for safekeeping shall follow the

General Records Disposition Schedule Series 2003 as per RMAO's
General Circular NO.1

III. DEFINITION OF TERMS

Contractual - is a person who undertakes a specific work or job

for a limited period not to exceed one year.

(
 Section No. 4
.•
~6
~v.TO.qr
C'o
~
RECORDS SECTION MANUAL
Revision No. 00
~lERCJ Section: Effectivity Date:
~
.~.•. Subject:
FILE MANAGEMENT
Subiect No.2
FILES OPERATION Paae No: 2 of 4

III. Definitionof Terms (Cont'd)

Detailed - is an employee temporarily moved from one

Employee department or agency to another which does not
involve a reduction in rank, status or salary.

Disposition - a written description of records of any agency

Schedule showing action to be taken at stated intervals with
respect to the disposition of records.

General records that are used in carrying on government

Records function in connection with which they have been
accumulated; dealing with matters of
contemporary importance, such needed for action
or for reference in continuing agency transaction,
and subject to immediately relevant addition or
other modification. (Ref. RMAO Gen. Circular No.
1)

Messenger - a permanent employee who delivers and/or

collects documents, office correspondence,
packages, materials and the like as
required/directed and ensures the security of said
documents before destination is reached.

Permanent - files that deal with completed or adjourned

Records business, not needed for action or reference in
continuing agency transactions but are of
continuing research or historical value to the
government and public such as:

1. Administrative Cases 10. ERB Resolution

2. Annual Reports - Stakeholders in 11. ERC Employees Inactive
the Electric Industry Personnel Records
3. BOE Resolution 12. House Bills
4. Cebu/Davao Documents 13. Issuances, Executive Orders,
Guidelines, Republic Act
5. Closed ERC Cases 14. Logbook
6. Commissions General Memo to 15. Mailing List
ERC Employees/Office Orders
7. Complaints File 16. OIC Resolution
8. Qecisions 17. Outgoing correspondences to
Stakeholders in the Elec. Industry
9. EC's General File 18. Supreme Court Decision
 ~\,.JI.TO.qr Section No. 4
.• "
~G C'o RECORDS SECTION MANUAL
Revision No. 00
~lERC) Section: Effectivity Date:
~
.~.•. Subject:
FILE MANAGEMENT
Subiect NO.2
FILES OPERATION Paae No: 3 of 4

III. Definition of Terms (Cont'd)

Permanent is an employee of the Commission who meets the

Employee minimum qualification requirements of the position
to which he is being appointed.

RO" Records Officer"

Retention - specific period of time established and approved

Period by competent authority after which a given set of
files is deemed ready for permanent storage
destruction.

IV. PROCEDURE DETAILS

RESPONSIBILITY ACTION INTERFACE

RO II/Messenger
Receive /
Contractual! Retrieve ERC Employee!
Detailed Employee Documents Officials

See Note 1,2

Record/Index Messenger!
RO" Documents Detailed Employee!
Contractual

See Note 3

Messenger!
File / Archive /
RO" Detailed Employee!
Loan
Documents Contractual
ERC Employees!
Officials
 Section No. 4
f<,G
llV'-T0I1')-
COo
RECORDS SECTION MANUAL
>-.l1i \.
Revision No. 00
~IERC; Section: Effectivity Date:
~ ~
.~. Subject:
FILE MANAGEMENT
Subject No.2
FILES OPERATION Page No: 4 of 4

Note 1: Ensure that receipt of non-current records with their enclosures or

annexes from Concerned Services/Officers/Employees for archival
is accompanied by a duly approved transmittal memorandum
addressed to the Director of Finance and Administrative Service.

Note 2: Request for loan or permanent withdrawal of documents under

Record Section's safekeeping, by the Officer/ Employees and
Concerned Services of the Commission, shall be properly
documented through the Record for Borrowed Items Form and log
in the index card provided for each record in the Records Section.

Note 3: Ensure that for each record, an index card is provided with the
following columns:
(a) document type (d) date borrowed
(b) subject (e) date returned
(c) borrower's name and signature

Note 4: a. Filing/Archiving of records is done according to document type.

b. Confidential/Permanent records shall be kept separately from the
General files in a secured section of the Records storage room.
c. Each record shall be properly labeled and indexed.

V. REFERENCE

Office Order No. 99-08

DECS Order No.13-A and 13-B, series of 1988
RMAO General Circular No.1

VI. RECORDS

General Records
Index Cards:
• Stakeholders in the Electric Industry
• Miscellaneous - Letters
Permanent Records as specified in the definition of terms
Record for Borrowed Items Form
Transmittal Memorandum
 Section No. 4
.•
~Oi
~v.TOIi'J-
COo
~
RECORDS SECTION MANUAL
Revision No. 00
~IERC) Section: Effectivity Date:
~
.~.•. Subject:
FILE MANAGEMENT
Subject NO.3
PRESERVATION OF RECORDS Page No: 1 of 3

I. POLICY

The Records Section shall be responsible for the preservation of the

permanent records because of the value attached to them. Consistent
with public interest, their preservation requires special treatment to
prevent their loss, destruction, mutilation, and the like, and to maintain
originality and reliability.

II. POLICY GUIDELINES

1. It shall be the responsibility of the Records Section headed by the

Records Officer to protect non-current records in its custody and
undertake corrective measures to rehabilitate weakened or brittled
documents in accordance with modem techniques.

2. It shall be the responsibility of the Records Offices to inspect the

files and recommend the transfer to the Records Management and
Archives Office (RMAO) in accordance with the duly approved
Records Disposition Schedule.

III. DEFINITION OF TERMS

Contractual is a person who undertakes a specific work or job

for a limited period not to exceed one year. The
frontliner of the Records Section.

Detailed - is an employee temporarily moved from one

Employee department or agency to another which does not
involve a reduction in rank, status or salary.

Permanent - files that deal with completed or adjourned

Records business, not needed for action or reference in
continuing agency transactions but are of
continuing research or historical value to the
government and public.

Permanent is an employee of the Commission who meets the

Employee minimum qualification requirements of the position
to which he is being appointed.

RO II Records Officer II
 ~v.TOlir Section No. 4
RECORDS SECTION MANUAL
.•
r<,G "0
'"" Revision No. 00
~ERCJ
•. Section: Effectivity Date:
~
.~. Subject:
FILE MANAGEMENT
Subiect No.3
PRESERVATION OF RECORDS Pane No: 2 of 3

IV. PROCEDURE DETAILS

RESPONSIBILITY ACTION INTERFACE

ConductYearly
RO II/Messengerl Inventory of Concerned Service
Contractual Records

See Note 1

Appraise
RO II Records Detailed Employeel
Contractu all
Messenger
See Note 2

Applicationof
RO II Detailed Employee
Applicable
Mitigating Contractual/
Measures Messenger

Note 1: This section of file management usually correspond with the yearly
disposal activities of the Records Section. However, this does not
preclude theRO II in making a quarterly inspection of records on
file.

Note 2: a. Update file inventory listing to determine volume and status of

records on file
b. Segregate records for disposal.
c. Review/Determine if there is a need to transfer records to
RMAO.
 ~~TO~r Section No. 4
~(:I "0 RECORDS SECTION MANUAL
•• •••
Revision No. 00
~JERCJ
•. Section: Effectivity Date:
~
.~. Subject:
FILE MANAGEMENT
Subiect No.3
PRESERVATION OF RECORDS Page No: 3 of 3

Note 3: Apply appropriate security and preservation techniques as deemed

proper:

1. Microfilming
2. Control of keys to the stack areas
3. Application of RESTRICTED AREAS policy
4. Designation of NO SMOKING AREAS
5. Separation of duly authenticated copies from the original
6. Constant security survey
7. Surveillance of records personnel
8. Maintain security emergency plan
9. Apply regular fumigation
10. Install airconditioning units
11. Whenever necessary, adopt body and baggage searches to all
personnel entering and going out of the records storage areas
for security reasons

V. REFERENCE

Handouts Seminar Workshop on Records & Archives Management

Section 633 of the Revised Administrative Code
Article 171 of the Revised Penal Code
Article 227 of the Revised Penal Code
Article 228 of the Revised Penal Code
Article 229 of the Revised Penal Code

VI. RECORDS

Index Cards
Non-Current Permanent Records
Year-end inventory of files
 uV.TOlir Section No. 5
«,6 COo RECORDS SECTION MANUAL
•• '<- Revision No. 00
~IERCJ Section: RECORDS DISPOSITION Effectivity Date:
~ .~." Subject:
ADMINISTRATION
Subiect No.1
GENERAL POLICY Page No: 1 of 1

Policy Statement

Disposal of all valuelesslnon-value records of the Commission shall only be

made through the Records Section.
 Section NO.5
RECORDS SECTION MANUAL
G~v.TOtt)rc Revision No. 1
II:~ ~
Section: RECORDS DISPOSITION Effectivity Date:
hERC}
..,
ADMINISTRATION
~
.~. Subject:
.

DISPOSAL
Subiect No. 2
Paae No. 1 of 4

I. POLICY

The Commission shall undergo an annual systematic removal of

records that are not needed in everyday operation, identified to be not
required for preservation and deemed ready for permanent destruction.

II. POLICYGUIDELINES

1. The Commission shall observe the General Records Disposition

Schedule (RMAO Gen. Circular NO.1) in determining the disposal
of their valueless records.

2. No records shall be destroyed or sold without having first secured

authority from the Director of the Records Management and
Archives Office (RMAO).

3. Public bidding shall be conducted if RMAO recommendation to

dispose records is through sale. Bidding shall be conducted
towards the end of the calendar year so that the effectivity of the
contract of the winning bidder shall be in January of the following
year.

4. Payments received from the sale of the Commissions records shall

be forwarded to the Cashier for the issuance of an official receipt.

5. To safeguard the sanctity of the records and to check that the

records to be disposed are of the same records which were
appraised and examined and that no insertions have been done,
the actual disposal of records shall be witnessed by the
.Administrative_Officer\L a HEM)(eSent<l.tiVEl
fl"9l11<::0rnJTlission on
Audit {CQ1l\). lntelllal Audit t1"it alld RMAO.

III. DEFINITION OF TERMS

COA • Commission on Audit

:::::;::~~~~~~[)i;;ispiii
.•
;ee;sa;IF~~~:jiiS~4:UI'l'iEe;::aaeelt~R}@l-
t~=-$Sle~II!iiIfls€g;;l~DilJIJlilm5imii1g;A~lt:QO:m:nli!¥-":l5tll:lbeei[r::lliiw!aallP:IllJ~======
getting rid of valueless records in accordance with
the provision of these guidelines.
 Section No.5
RECORDS SECTION MANUAL Revision No. 1
. ~\Jl.TOlty
~'" c~
Section: RECORDS DISPOSITION Effectivity Date:
lERC) ADMINISTRATION
.~. Subject
DISPOSAL
Subiect No. 2
Paoe No. 2 of 4

III. DEFINITION OF TERMS (Cont'd)

Disposition _ a written description of records of any agency

Schedule showing action to be taken at stated intervals with.
respect to the disposition or records prescribed by
RMAO under Gen. Circular NO.1.

Records. _ systematic removal from office to storage of

Disposition records that are not needed in everyday operation,
identification and preservation of permanently
valuable records and the destruction of valueless
records.

RMAO _ Records Management and Archives Office

RO II - Records Officer II

Valueless _ include all record materials that have reached their

RecordslNo prescribed retention periods and usefulness to the
Value Records agency or the government as a whole.

IV. PROCEDURE DETAILS

RESPONSIBILITY ACTION INTERFACE

CS;V
~
Conduct
Inventory of
Concerned

See Note 1
Appraise
RO II Records RMAO
See Note 2

Dispose COA, IAU &

Valueless
Cashier
Records
See Notc3 &4
 section No. 5
RECORDS SECTION MANUAL
~""'TOR,. Revision No. 1
•.'"
~G
'\
~ERC.;
<'0
Section: RECORDS DISPOSITION
ADMINISTRATION
Effectivity Date:

~
.~. ~ Subject:
DISPOSAL
Sl:lbiect No. 2
Paae No. 3 of 4

Note 1: a. Prepare and transmit to all ServiceslField Offices a

memorandum signed by the FAS Director regarding submission
of list of the respective Service's corresponding valueless
st
records for disposal (to be done annually on the 1 week of
November)
b. Check, systematize and list all records under the custody of the
Records Section
c. Receive valueless records from different Services not later than
the 15th of December. The Record section shall be responsible
for the safekeeping of the valueless records until its disposal is
conducted.

Note 2: a. Prepare an updated inventory of all record holdings in the

prescribed form (RMAO Form 1)
b. Checkllnspect storage files and examine preceding period's
disposal report
c. Review/determine if there is a need to transfer records to RMAO
d. Review and make request for additional filing equipment (if
required).

Note 3: a. Prepare Request for Authority to Dispose of Records (RMAO

Form NO.3) in five (5) copies.
b. Forward RMAO Form NO.3 to AO IV and FAS Director for their
notation prior to submission to the Office of the Chairman (CEO)
or his authorized representative for his final approval.
c. Submit four (4) copies of this form to RMAO as required.
d. Provide COA and Internal Audit Unit a copy for advance
information:
e. Conduct public bidding if the recommendation of RMAO is to
dispose the Records through sale.

Note 4: a. Notify COA and Internal Audit representative through formal

iltemUi aildom signed by FAS Director to witness saiE! E!isposal
as soon as manner of disposal was determined and bidding was
completed (if applicable)
b. Prepare four (4) copies of Certificate of Disposal in the
prescribed form (RMAO Form 6). Indicate the nature of the
records for disposal, the manner, place and date of disposal and
their approximate volume in cubic meters and weight as soon as
E1isp9sal=is--OORsummat.~ed(;lo====================
c. File the original copy of Certificate and furnish the remaining
three (3) copies to RMAO, COA and Internal Audit Unit .

•••
 Section NO.5'
RECORDS SECTION MANUAL Revision NO.1
~\),-"TOIl••c
,f 0
Section: RECORDS DISPOSITION Effectivity Date:
~ERCl . ADMINISTRATION
~
.~.
~ Subject:
DISPOSAL
Subiect No. 2
Paoe No. 4 of 4

Note 5: a. Segregatelbox documents according to paper type (Class A, B,

etc.).
b. Place appropriate paper classification on conspicuous place on
the sackslboxes of documents for disposal.
c. Prepare ERC Gate Pass and Building Gate Pass
d. Transmit appropriate Gate Passes to the FAS - Admin. Office
for approval and signature.
e. Provide Commission and Building Guards copies of appropriate
Gate Pass.

Note 6: Mode of disposal is thru sale of documents:

a. Ensure the correctness/appropriateness of weighing scale to be
used.
b. Secure from RMAO, the current selling rate for each type of
documents. .
c. Carefully, jot down the weight of each box/sacks of documents
being weigh.
d. Compare recorded weights with that of RMAO, COA and tAU
representatives records
e. Total all recorded weights
f. Prepare assessment form in three (3) copies
g. Transmit duly signed copies of Assessment Form (2 copies) to
Cashier for issuance of Official Receipt
h. File the remaining copy of Assessment Form

V. REFERENCE

DECS Order No. 13-A dated February 3,1988

Handouts Seminar Workshop on Records and Archives
Management (Basic)

VI. RECORDS

Assessment Form
Listingllnventory of Records
Official Receipts re: sale or disposal of valueless records
Report on Disposal of Valueless Records
RMAe-Foli Ii 1 RMAG-ReoordS=fnveRto!¥'8Rd.Appra""isa .••ll=======-
RMAO Form 2 - RMAO Records Disposition Schedule
RMAO Form 3 - RMAO's Request for Authority to Dispose of

- Records
RMAO Form 6 - RMAO's Certificate of Disposal of Records
..

MEMORANDUM
ENERGY REGULATORY
COMMISSION
21 August 2008
CHAIRMANr~ OFFICE
----

THRU:

FROM:
Chairperson and CEO

FRANCIS SATURNINO

INTERNAL AUDIT UNIT

.

C. JUAN *~y~:~: RECEIVED

r.j -::;~~~~ \

L. -..~5~~.:.:::."=::::.::-.::::-==-==-

RE DISPOSAL PROCEDURE. REVISED

We attached the revised section of Records Section's Procedure Manual for your
approval.

The revision was based on IAU's observations detailed in a separate audit report, to
improve on the existing procedure.

For your approval and signature.

cc: Commissioner Alejandro Z. Sarin

Commissioner Rauf A. Tan
Commissioner Jose C. Reyes
Commissioner Maria Teresa A.R. Castaneda

attach:
 Section No. 6
.• \),-"TO~r
f<,~ <'0
~
RECORDS SECTION MANUAL
Revision No. 00
~JERCJ Section Effectivity Date:
~
.~.•. Subject:
MISCELLAN EOUS
INDEXING OF OFFICE Subiect NO.1
AND TRAVEL ORDERS Pace No: 1 of 3

f
I. POLICY

To regulate clerical operation, all Office and Travel Orders shall be

index by the Records Section following the prescribed alpha/numeric
sequence designated for the subject documents.

II. POLICY GUIDELINES

1. No Travel Order shall be received by the Records Section unless a

travel classification is indicated as follows:
a. F - for Foreign Travel
b. L - for Local Travel
c. M - for Meter related transaction travel

2. The ReCOrds Section shall index the prescribed alpha/numeric

control number which starts from 01 for Office Order and 001 for
Travel Order, which will be issued sequentially.

3. Records Section shall receive and distribute Office Order and

Travel only after proper authorization of the approving authority.

4. Office and Travel Orders shall be released or distributed within one

(1) day upon receipt of documents from Concerned Parties.

III. DEFINITION OF TERMS

ED - Executive Director

RO II - Records Officer II

Contractual - is a person who undertakes a specific work or job

for a limited period not to exceed one year. The
frontliner of the Records Section.

Office Order - shall refer to internal rules and regulations of the

Energy Regulatory Commission.

Travel Order - shall refer to official local and foreign travel of ERC
officials and employees, and travel assignments of
Personnel from Meter Division.
. - - --~~

Section No. 6
.•
~(:)
uv.TOli'r
COo
~
RECORDS SECTION MANUAL
Revision No. 00
~IERC) Section Effectivity Date:
~ .~.'" Subject:
MISCELLANEOUS
INDEXING OF OFFICE Subiect No.1
AND TRAVEL ORDERS Paae No: 2 of 3

III. DEFINITION OF TERMS (Cont'd)

Chairman/CEO - Chief Executive Officer of the Commission

IV. PROCEDURE DETAILS

RESPONSIBIUTY ACTION INTERFACE

Receive Office of the

RO II/Messenger/ Documents Chairman & CEO
Contractual Office of the
Executive Director
See Note 1

Assign
RO IIlMessenger/ Applicable
Contractual number

Concerned
Messenger/ TransmitIForward Services
Contractual the Documents ERC Employees

See Note 3 & 4

Note 1: a. Receive Office Order and/or Travel Order from the Office of the
Chairman/CEO or Office of the Executive Director.
b. Ensure that documenV(s) is/are properly signed or authorized by
the approving authority.
 Section No. 6
.•
~Q
\lV-TOlly
C'o
~
RECORDS SECTION MANUAL
Revision No. 00
~JERCJ Section Effectivity Date:
~
.~... Subject:
MISCELLANEOUS
INDEXING OF OFFICE Subiect NO.1
AND TRAVEL ORDERS Paae No: 3 of 3

Note 2: a. Check the last control number used on the appropriate file folder
(per classification specified below) to preclude repetition.
b. Classify documents according to type of Order.
b1. Travel Order - Foreign. Local or Meter
b2. Office Order

Note 3: Reproduce documents according to the corresponding number of

copies required. Retain one (1) copy as receiving copies.

Note 4: a. Transmit documents and ensures the signatures of the receiving

parties on the receiving copy.
b. For Travel Order. ensure that FAS Accounting Division and
Human Resource Section are provided with copy.
c. File the receiving copy in the appropriate folder.

V. REFERENCE

Office Order No. 96-54

VI. RECORDS

Office Order File Folder

Travel Order File Folder
 ~\Jl.TO~r Section No. 6
RECORDSSECTIONMANUAL
.• '"'
~(J

~ERC~
"'0

Section
Revision No. 00
Effectivity Date:
~
.~.
~
Subject:
MISCELLANEOUS
CERTIFICATION OF Subiect NO.2
NON-CURRENT RECORDS Paae No: 1 of 3

I. POLICY

Certification or issuance of certified true copies of all non-current

records other than closed and terminated cases, shall only be done by
the Records Section.

II. POLICY GUIDELINES

1. The Records Officer II who is the sole officer of the Section shall be
the authorized personnel to serve the request for certification and
issue certified true copies of non-current records being requested at
the Records Section.

2. No documents shall be certified without securing or retrieval of the

original file copy at the Records Section.

3. No request for certified true copy shall be served without the

approval of the Division Chief of the Administrative Division.

III. DEFINITIONOF TERMS

Contractual - is a person who undertakes a specific. work or job

for a limited period not to exceed one year.
He/she also acts as the frontliner of the Records
Section.

DC-Admin. - Division Chief of the Administrative Division

Non-Gurrent - files that deal with completed or adjourned

business,
Records not needed for action or reference in continuing
agency transactions but are of continuing research
or historical value to the government and public.

RO" - Records Officer II

Requesting - an entity, person, employee of the Commission

Party requesting for a certification of documents.
 \lv.TO~r
RECORDS SECTION MANUAL
Section No. 6
~G C'o
'" .•. Revision No. 00
~ERCJ
;;, .•.
Section.
MISCELLANEOUS
Effectivity Date:
•~t~.
Subject: . CERTIFICATION OF Subject No.2
NON-CURRENT RECORDS Page No: 2 of 3

IV. PROCEDURE DETAILS

RESPONSIBILITY ACTION INTERFACE

C7
RO II Request Requesting Party
for Certification
DC-Admin/
Cashier

See Note 1

Certify the
ROil Documents Requesting Party

See Note 2

Release
. RO II Certified Copy Requesting Party

Note 1: a. The request for the issuance of a certified true copy of records
other than the ERC closed case, shall be done through the use
of the Request for the Certification Form and should be duly
approve/authorize by. the Division Chief of Administrative
Division.
b. Request for certification of ERC ongoing cases shall be course
through the Docket Section.
c. The requesting party/(ies) shall at their own expense reproduce
the documents for certification. If the reproduction is to be done
by the Commission, it shall be accompanied by a Request for
Duplicating Service duly approved by the Division Chief of the
Administrative Division.
 \lV-TO~r Section No. 6
rv~ (>0 RECORDS SECTION MANUAL
•• '& .
Revision No. 00
~ERC) Section Effectivity Date:
~
.""'...""..e>.
" MISCELLANEOUS
Subject: CERTIFICATION OF Subiect NO.2
NON-CURRENT RECORDS Paae No: 3 of 3

Note 1: (Cont'd)

d. A corresponding fee (Memo dated 10/25/04) for reproduction

shall be paid to the Cashier prior to serving request for a
certified true copy.

Note 2: a. Ensure that the documents handcarried by the requesting party

correspond to the Section's file copy.
b. Stamp "CERTIFIED COPY" on the documents.
c. Initial the documents and indicate the date of certification.

Note 3: File Request for Certification form.

V. REFERENCE

RBA Jr. Memo dated 10/25/04 - Re: Duplicating Service Cost

VI. RECORDS

Request for Certification Form

Request for Duplicating Service
 Section No. 7
.•
~l:J
\\v.TO~r
C'o
~
RECORDS SECTION MANUAL
Revision No. 00
~ERCJ
•. Section Effectivity Date:
~
.,~. Subject:
FORMS USED
Subiect No.
Page No: 1 of 1

t )
PARTICULARS

1. List of Mail Enclosure

2. Mailing List
3. Petty Cash Replenishment Report
4. Petty Cash Voucher Form
5. Record for Borrowed Items
6. Request for Certification Form
7. Request for Duplicating Service
8. Request for Vehicle
9. Request for Messengerial Service
10. Report of Postage Stamp Used
11. RMAO Form No.1 - Records Inventory and Appraisal
12. RMAO Form No.2 - Records Disposition Schedule
13. RMAO Form No.3 - Request for Authority to Dispose of Records
14. RMAO Form No.6 - Certificate of Disposal of Records

(
 T'IPi! of correspondeno~ .;~
Republic of the Philippines
control no. ::;_.-
ENERGY ..... - - - -., .•~..•........•.. 1
REGULATORY !'.rial. size B, regular.;~._;_. Reference No.: 2~05-A1.j or eOO1
i ••••••••••••••.•.•••.•••.•••••••.•••.•••.•.•• :•.••••.•••.••••••.•.•••••.• ;
COMMISSION year ".~ :
QefWr<ilbjl!ty reOtEr me , :

..., skip two (2) spaces

LIST OF MAIL ENCLOSURE Arial,s'" l4,bold""".,,,

~ skip one (2) spaces

Date
-+ Date fonnat: day month year
FOR FiELD OFFICE ~ Aria!, size 12, bold, aU caps
~ skip one (1) space
FROM: RECORDS SECTION - ERC CENTRAL OFFICE
~ skip one (1) space
~ skip one (1) space
(Start of list of documents for transmittal to respective field offices)
-7 Arlol, size 12, single space, justified

(End of memo)
 From: ENERGY REGULATORY COMMISSION MAILED AT THE STRATA POST OFFICE

No.
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Pacific Clr. Bldg. San Miguel Ave .. Pa~ Cil);:
I Reg. No. I Addresse"

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PEtrY CASH REPLENISHMENT REPORT, ,

Agency
Period Covered: ' ! .\ ,j-:i.
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. , . '. Report No.:.
Sheet No.:

Date
Petty Cash
Particulars
.. I 'Amount
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Voucher No .

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CERTIFICA nON
.

r hereby 'certify to the correctness of the "above information.

,
Petty Cash Custodian Date ';'
,
AO 6/15/02

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PETTY CASH VOUCHER No,:

Date:
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Anancv

Payee/Office : Responsibility Center Code:

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Address
,

I. To be filled up upon request II. To be til/ad up upon liquIdatIon

Particulars Amount
Total Amount Granted

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Total Amount Paid per '"
OR No,
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lmmed~ate Supervisor

JU Paid by:
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Cash Received by: ,

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Signature of Payee ;.
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 Republic of the Philippines
ENERGY REGULATORYCOMMISSION
San Miguel Avenue, Paslg City

REQUEST FOR CERTIFICATION

DATE:
-----
SUBJECT MADER:

Requested oy: Approved by:

ATTY. CRiSOLDO B. FORTUNA

(Signature Over Printed Name) Administrative Officer V

..
".
 ,;;.-.

! -'-- -.;--

-.'/~~.- __ .RepuqliCofthePhillppineS i-.

-'_--
• "ERCJ,'EN~RGYREGULATORYCOMMISSION'

.-~.~ •. REQUEST'FOR"[)UPLICATINGSEl'{VICE
. . .';- -' .,' " .

REQUEST FOR: -.'.--. ..•. -_ . '_'

SUaJECTMAn-ERI- .._ -D-A-t-;A:.-'-_---------------
. . -
-'--,~~~-~~~------ .~," '.,
AmOunt
.'
--Paper Sjze~ - Cost per 90PY _' No. copies
Wlthout ERC copy Pllper . -
. ". '
" .' F'O)iO - ,x
...~,.-.

;1 .

---'-'Total Amount

RElq~eSled by: --- -

":,-:-- Approved by:
-"Ri SOLOOB.FORTUNA
- (SignalureOver Printed Name) ApM'IIlSTRAf'YEOf'fICEIH' . "
-(SlghatureOver PriritedName)
. . ~~
\ .
 Republic of the Philippines .
° ENERGY REGULATORY COMMISSION
San Miguel Avenue, Pasig City

Date

REQUEST FOR VEHICLE

The undersigned requests for a vehicle to be used on:

Date:
-------
Purpose (PIs. specifY) : /
[ I To attend meting Time: _
[ I To deliver/pick-up documents
[ I Others ~ _
PLACE

PASSENGERIS °

Approved by: Requested by:

Authorized Officer UserlBranchlDivision Head

":.
Republic of the Philippines ..
. ,~
ENERGY REGULATORY COMMISSION
° San Migud Avenue, Pasig City

° Date

REQUEST FOR VEHICLE

The undersigned requests for a vehicle to be used on:

Date:
-------
Purpose (pIs. specifY) : ~ ~ _
[ ) To attend meting Time: _
[ I To deliveripick-up documents
[ I Others __ 0 '-- _

PLACE

PASSENGERIS

Approved by: Requested by;

Authorized Officer UserlBranchIDivision Head

 Republic of the Philippines
ENERGY REGULATORY COMMISSION
San Miguel Avenue, Pasig City

To: MS. EDITH S. ANGELES

Records Officer II
Records Section

REQUEST FOR MESSENGERIAL SERVICE

Date Time:

/ / Delivery / / Pick-up

ADDRESSEE

ADDRESS

PARTICULARS

Requested by:

- - - --- ------ - - - - - - - - -- - _.- - - - - - - - - - - - - - - - - -

Received by

Date

Time
 Republic of the Philippines
ENERGY REGULATORY COMMISSION
San Miguel Avenue, Pasig City

RMS No.
------
To: Ms. EDITH S. ANGELES
Records Officer II
Records Section
REQUEST FOR MESSENGERIAL SERVICES

Date: _ Time: _

I I Delivery- Courier/Handcarry I I Pick-up

ADDRESSEE
ADDRESS

PARTICULARS

Requested by: Approved by:

-----------------------------------------------------------------

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"

RMS No. _

To: Ms. EDITH S. ANGELES

Records Officer II
Records Section
REQUEST FOR MESSENGERIAL SERVICES

Date: _ Time:, _

I I Delivery- Courier/Handcarry I I Pick-up

ADDRESSEE
ADDRESS

PARTICULARS

Requested by: Approved by:

Received by : _
Date
Time
(
~\ .••.
- :>
 REPORT OF POSTAGE STAMPS USED

PARTICULARS
AMOUNT I
.1-

Balance as of _
P

Add: Purchases (Postage Stamps)

Total Petty Cash Fund P

Less: Postage Stamps used per mailing list for
the period to _

Balance as of _ p
==================

CERTIFIED CORRECT BY:

NAME
RECORDS OFFICER II

NOTED BY:

NAME
ADMINISTRATIVE OFFICER V
<.MAOFormNo. 1 Accomplishin 4 copies
~evised 1998

RECORDS INVENTORY AND APPRAISAL

1. . Agency 2. Address and Phone No.

3. -.>rganizationallJni t 4. Person In-Charge of File

5.. Records Series Title and Description

6. Duplication (Please indicate the Units/Offices who have a copy of this records)

7. Period Covered .- 8. Volume (cu.m.)

.

9. Rate of Accumulation 10. Location

.
.

11. Type of Equipment _ 12. Filing System 13. Frequency of Reference

D. 4- drawer filing cabinet o Alphabetical o Daily

..0 Storage 'c' ."0 Chronological' o Once a Month
o OpenShelf o Numerical,
o As the need arises
o Functional Subject . .

'] OL'lers (Specify)

Alphabetic
o Others (Specify)
..
o Others (Specify)
'.. "

H. Value/ Nature

Time Value UtilityValue

..
0 Permanent o Administrative o Archival D Others
o Temporary o Fiscal D Legal

15. Recommended Retention Period

_____________ years in office file __ . __.. Years in Storage

16. Prepared by: 17. Assisted by:

Records Management Analyst

,, .
Position: 18. Approved by:

Date
Chief

1"'. "emarks:

':f.~:
::
 RMAO
.•.
H.-NO.2
Revised 1998
~-'
•• .. -•. (Accomplish in Quintuplicate) 2

RECORDSDISPOSITIONSCHEDULE
... .

~. Agency 3. Schedule No. 5. Page __ of __ Page

2. Address 4. Date Prepared

6. ltemNo. 7. Records Series Title and Description 8. Retention Period 9. Disposition Authority jRemark
a. Active b. Storage c. Total .
.

~'Il

.
~
" 'J

-.',

<
,
,
. .

. ,

•
Important: No Agency shall destroy or sell any records witho,ut having first secured authority from the Director Df Records
Management and Archives Office. (Article III, Rule 4, 1, Department Order No. I3-A, s. 1988
 RMAO Form NO.3 Accomplished in 4 copies
Revised 1998

-------------------------------------------------------------
Agency

---~-----------------c-------------_-----------~------------
Address

---------------------------------------------
Date
The Director _
Records Management and Archives Office
T. M. Kalaw Street
.1000 Errnita, Manila

Subject: REQUEST FOR AUTHORITY TO DISPOSE OF RECORDS

Sir

Please authorize the disposal of records listed below.

---------------------------------------------------_ ..----------_._--_.~-_._._--_.--------------------
Item No. Records Series Title & Descri tion Period covered -

,
,

Prepared by: (Name & Signature) Position:

.
,
-
Location of Records:
=
- The above mentioned records are no longer needed by this office and that they are not involved
nor connected in any administrative or judicial cases _ _
~
Very truly yours,
~.
1
r

'"
Agency Head

[ i
Position
";
 J RMAO Form NO.6 Accomplish in 4 copies

,*
Revised 1997

(
CERTIFICATE OF DISPOSAL OF RECORDS

1. Agency 2. Address .3. Location of Records

4. Hem No. 5. Records Series Title and Oeser! tiOT! . 6. Period Covered
L,....
,

I ,

II

-r-
;
,
"1

r
••*
,
. ,

I
• 7. Total Volume In Cubic Meters
\

8. Total Weight in kilos

'. -9.Certification
-'

•
.TO WHOM IT MAY CONCERN:

We certify that the above mentioned records have been disposed of by way of
o sale
on
0 burning 0 sale after shredding at
in our presence.
.

.
.
10. RMAO 11.COA
.

12. Agency

til Official Receipt No. Date of Payment Amount Paid Buyer's Signature

I
 •

• Republic of the Philippines

ENERGY ;
RECORDS
_ ,
filE \

REGULATORY j
:
Reference
-
No.: 2007-A4-1023 1
.:
COMMISSION

MEMORANDUM

25 April 2007

FOR: Any. RODOLFO B. ALBANO, JR.

CHAIRMAN/CEO .
f?/~t-
#
THRU: FRANCIS SATURNINO C. JUAN ~

FROM: INTERNAL AUDIT UNIT

RE RECORDS SECTION PROCEDURES MANUAL

•

In compliance with the Minutes of the Commission Meeting No. 268 dated December
13, 2006, wherein the Commission deems it proper that all Procedure Manual shall
require the approval of the Ghief Executive Officer, we are forwarding the Records
Section Procedures Manual for your approval prior to distribution to copyholders.

This memorandum bearing the Chairman's/CEO's approval shall be the cover page
of the Manual.

For your approval.

-(;.
o 'I1U>.In.fJ~
Tpesifa fl.: Cabriule

,
i
II
-n
","" .I
 Republic of the Philippines
ENERGY
REGULATORY
, _ , , Rf.r':ORDS-FILE
: Reference No.2007 -M-I& l
L __ J
COMMISSION

•",
MEMORANDUM

04 May 2007

FOR : . ALL MANUAL COPYHOLDERS

THRU: FRANCIS SATURNINO C. JUAN

FROM: INTERNAL AUDIT UNIT

RE RECORDS SECTION MANUAL

The Chairman and CEO have approved the Records Section Manualas per memo
dated April 25, 2007,

In order to intensify the implementation of this Manual, we are requesting that your
Service makes full use of this handbOok and that the same be made available to all
the staff for their information needs.

Please acknowledge receipt of this manual by returning the lower portion of the .
attached Acknowledgement Receipt to the Internal Audit Unit.

1ZiYM .~
lA.~briUle
., \
\

MEMORANDUM

18 September 2008

FOR: ALL MANUAL COPYHOLDERS*

THRU: FRANCIS SATURNINO C. JUAN ~

FROM: INTERNAL AUDIT UNIT

RE UPDATES ON RECORDS SECTION PROCEDURE MANUAL

The Chairman and CEO have approved the proposed revIsion on the Records
Section Manual as per memo dated August 21, 2008. The revision pertains to the
detailed steps to be observed if the mode of disposal is through sale of documents
and the inclusion of internal control features to be observed during the preparatory
stage of the disposal activity. These revisions are made in coordination with the
Records Section of the Office of the General Counsel.

In this regard, we have also effected the updates/revisions in the manual for your
reference.

Attached are the revised pages of the Records Section Manual for insertion in the
respective section.

~.,.J/
T (A. I..abriule

'Office of the Chairman and CEO

Office of the Commissioners.
Offiee of the. Exee!;jtive8iFCetoF
Office of the General Counsel and Secretariat
Office of the Consumer Affairs Service
Office of the Financial and Administrative Service
Office of the Legal Service
Office of the Market Operations Service
Office of the Planning and Information Service
OffiGe4-Jhe--R"lglJJatpry Ope<aJ;ien-d'eFvise
Mindanao Field Office
Visayas Field Office
Records Section

attachs:

SEP 232008
 : , " :

EB(G
•••••••••••H."' .•••.••.•, ••••••"." .•..•••"', •.",..,,
:
Reference No. 2012-A4-I004
:

MEMORANDUM

13 February 2012

FOR: ALL MANUAL COPYHOLDERS.

THRU: FRANCIS SATURNINO C. JUAN

FROM: INTERNAL AUDIT UNIT

RE UPDATES ON RECORDS SECTION PROCEDURES MANUAL

The Chairman and CEO have approved the proposed reVISion on the Records
Section Manual as per memo dated February 09,2012. The revision pertains to the
updated detailed steps to be observed forthe following:

1. Section 2 (Mail Administration and Messengerial Services System) -

1 incorporating the Document Tracking System (DTS) with its barcoding
system, the latest cut-off time for delivery of documents relative to the
Executive Director memo dated 20 July 2011 and the current approving
I authority relative to ERC Office order No. 32, series of 2010; and

2. Section' 3 (Postage Stamp Management) - the updating of the denomination

of postage stamp currently on hand and the designation of the Administrative
Officer II as the Special Disbursing Officer relative to Office Order No. 11,
series of 2010.

Attached are the revised pages to replace the respective sections of the Records
.Section Manual. . .

.Office of the Chairman and CEO

Office of the Commissioners
Office of the Executive Director
Office of the General Counsel and Secretariat .
Office of the Consumer Affairs Service
Office of the Financial and Administrative Service
Office of the Legal Service
Office of the Market Operations Service
Office of the Planning and Information Service
Office of the Regulatory Operations Ser,;,ice
Mindanao Field Office
. Visayas Field Office
R/icords Section

=ChS: