RECORDS MANAGEMENT

(for PS SLC)

By
Jesus B. Arceo, Ed. D., Ph.D
 Meaning of Records
Records refers to “any paper, book, photograph, motion
picture, film, micro – film, sound recording, drawing,
chart, map or other document of any physical form or
copy thereof that has been made or received by any entity
or its successors as evidence of the objectives,
organization, functions, policies, decisions, procedures,
operations or other activities of the government or because
of the information contained therein.
 Laws on Official Records
• DECS Order No. 13 – B, S. 1988 dated Feb 3, 1988 pertaining to Rules
and Regulations governing the coordination of records management and
Archives Functions.
• Administrative Order # 12 and Section 79 of PD 1445 refer to official
records.
• Rule 1 Article I of the Department of General Services Order No. 2 dated
Sept. 17, 1986 prescribing the Revised Rules and Regulations governing
the creation, maintenance, use and disposition of Government Records
which is applicable to the executive, legislative and judicial branches of
government including constitutional offices.
• Administrative Order No. 13 and Section 79 of PD 1445 were devised to
deal only with objects that are far more important and valuable such as
original records, documents and exhibits.
 RECORDS MANAGEMENT
DEFINED
From governance point of view –
Records management is a process of ensuring the proper
creation, maintenance, use and disposal of records to
achieve efficient, transparent and accountable governance.
Sound records management implies that records are
managed in terms of an organizational records management
program governed by an organizational records
management policy.
From activity point of view –
“Records management” is a general term that encompasses a number of
activities and techniques that make records keeping easier, more efficient
and more cost effective.

From system point of view –

Records Management is the systematic control over the creation,
acquisition, processing, use, protection, storage and final disposition of
all recorded information to effectively conduct business. Recordkeeping
involves assembling and managing the correct information (1) in the
proper form, (2) at the right place, and (3) in a timely manner for use by
the appropriate persons. It is dynamic system for managing records in an
efficient and cost conscious manner.
Records Physical Forms
By any paper, book, photograph, motion picture, films,
micro – film, sound recording, drawing, chart, map or other
documents of any physical form or character.
 How they are created?
1. By any entity or received by it in connections
with the transactions of public business.
2. Retained by that entity or its successor as evidence
of the objectives of the organization as well as its
functions, policies, decisions, procedures,
operations on other activities of the government.
3. There must be a production control Program
 RECORDS CREATION
• Records creation is the act of
exchanging written ideas between
two sources. At this point, the life of
the record begins. However, due to
the fast pace at which records of PNP
personnel are created, and the cost
involved in maintaining them, a
control system is necessary.
Section 1 – Guidelines
 Any paper or document that contributes to
the prompt completion of any process
within the Directorate for Personnel and
Records Management shall be deemed
necessary and produced;
 For reports, memoranda and other written
communications, the documents shall be
prepared in the simplest manner possible
so it will be easy to understand, use and
revise;
 They shall be prepared using clear and
specific words, short and direct sentences,
one (1) subject at a time, uniform format
and in the necessary number of copies;
 For circulars, directives and SOPs, there
shall be a uniform number series starting
with the year of issue followed by a dash
and the number starting with one (1);
 For transactional records, they shall be
prepared in the prescribed format using
security paper and digital features and
signatures.
Section 2 – Transactional Records
Specific records shall be created to serve
the needs of PNP personnel in transacting
official business. These include:
 Service Record
 Certificate of Leave Credits;
 Certificate of Legal Beneficiaries;
 Identification cards;
 Authenticated Photocopies of Documents
 Publication of Orders;
 Case Records
Section 3 – Basis of Creation
Transactional records shall be created
based on the individual PNP Personnel
File (PPF) and/or the case file.
Section 4 – PNP Personnel File
The PNP Personnel File shall contain the
following:
 Duly accomplished PNP PDS (ODPRM
Form) with 2” x 2” ID picture in GOA
Uniform with name appearing below the
picture (Last, First, M.I. and below is the
rank);
 Appointment Order;
 Birth Certificate and Marriage Contract;
 Birth Certificate of Children
 Diploma and Transcript of Records;
 Eligibility/NAPOLCOM Entrance
Examination/Board Rating;
 CSC Attested Appointment;
 Oath of Office;
 Summarized Medical Records (Drug Test
and Neuro Examination);
 Handwriting and Fingerprint Specimen.
Section 5 – PPF of Newly Appointed
Personnel
 A PPF shall be created for each newly
appointed personnel immediately after
oath-taking;
 The PPF shall contain authenticated
copies of documents listed under Section
4 above, except for the PNP Personal
Data Sheet and Appointment Order which
shall be submitted in original copies and
arranged as required without tabbing;
 The Civil Service Commission attested
appointment may be submitted later
considering the processing period it takes to
be approved by the concerned authorities;
 Non-essential documents of newly appointed
personnel particularly those that would
eventually expire upon a short period of time
shall be excluded to reduce time and effort
spent in handling these documents and
occupy less storage space in the filing
shelves;
 Fraudulent clearances shall be destroyed.
Section 6 – Format of Folder
 The PPF shall be prepared in one (1)
folder with plastic cover;
 The color of the folder for the PPFs shall
be as follows;
1. Red, for Police Commissioned Officers;
2. Blue, for Police Non-Commissioned
Officers; and
3. Green, for Non-Uniformed personnel.
Section 4 – Storage of Records
The following Personnel records shall be
filed and maintained in the designated
storage room for easy access and control.
 Individual PNP Personnel Files;
 Individual Performance Evaluation
Ratings;
 Individual Statement of Assets, Liabilities
and Net Worth;
 General Orders, Special Orders and Letter
Orders of the NHQ, PROs and NSUs; and
 Case records
 What are the purposes of
Police Records?
1. Determining the nature, extent and
distribution of the police problems of
crimes, delinquency, vice and traffic.
2. Determining the size and distribution
of the force.
 Numerical strength versus striking
power.
 Influence of patrol efficiency upon total
personnel strength of a police
department.
 Functional distribution
 Geographical distribution
 Chronological distribution of force
 Control over crimes committed and
their investigation
 Apprehending criminal offenders
through a study of their modus
operandi or method of operation
 The analysis of traffic accident
 Control over arrested and their
disposition
 Making administrative prediction
 Revealing unusual problems and
emerging situation.
 Selecting the best men for particular
assignment or for promotion.
 As a tool of criminal investigation
 Determining the amount, nature and
distribution of police equipment.
 As a basis for democratic control.
 What are the importance of
Police Records?
1. Primary means of communications
among members of the police
department and the integration of
various units of the organization for
accomplishing the police task and
goals
2. Essential in the efficient performance
of routine duties, supervision and
control of personnel and
determination of department policy.
What are the specific functions
and uses of records?
 Measures police efficiency;
 Present the community’s crime picture
 Assist in assigning and promoting
personnel
 Identify individuals;
 Provided a basis for property
accountability;
 Control investigation;
 Make information available to the public;
 Increase the efficiency of traffic control;
 Assist the court and prosecutors;
 Assist in evaluating control services;
 Coordinate custodial activities;
 Integrate the department;
 Furnish data for the budget;
 Establish responsibility;
 Reveal unusual problems;
 Aid in the apprehension of criminals;
 Assist other police agencies;
 Provide the basis of compilation of police statistics;
 Effective employment of personnel and equipment.
 What are the types of Police
Records?
The classification of police records are in
five (5) categories namely:
1. Case records
2. Arrest and Booking records
3. Identification records
4. Administrative records, and
5. Miscellaneous records.
CASE RECORDS – A case record is
composed of two (2) categories:
Complaint’ Assignment Sheet – which
reflects all information regarding
complaints and reports received by the
police from citizens, and other agencies or
actions initiated by the police.
Investigation Report – which contains
the findings and action taken by the
investigating officer based on inquiries
made and by obtaining the available facts
of the incident.
ARREST AND BOOKING RECORDS –
This record maintains the arrest and jail
booking report, which is required for all
persons arrested. It is made out in full on
each person arrested. It shall bear an
arrest number for each arrest made.
IDENTIFICATION RECORDS –
identification record is the third major
division of police records. Fingerprint
records are the heart of any identification
system. It provides positive identification
and the police must supplement it with a
record of physical characteristics and in
some cases a photograph of the criminal.
Identification records have their own
number series; and identification number
is assigned to each criminal to identify
records relating to him.
ADMINISTRATIVE RECORDS – these
records required in the management of the
department’s personnel and designed to
aid in assignments, promotion and
disciplinary action. Such records are so
essential in administering personnel
matters that they must be maintained in a
police department.
MISCELLANEOUS RECORDS – These are
records, which do not relate recorded
complaints and investigation reports but
are informational in character.
 What is Case Records?
• Case Records – The case record is
the heart of any police records
system.
– It is the basis for an analysis of offenses
and the methods by which they are
committed.
– The following are the different types of
reports included under the case records,
which shall be accomplished
accordingly by all concerned.
Complaint/Assignment Sheet –
The compliant’ assignment sheet is
the foundation record of the police
department.
The desk officer, or clerk, or
telephone operator receiving a call for
police assistance accomplishes it.
Each complaint/assignment sheet
shall be assigned a different number.
(1) Case Report – This report shall be
accomplished by the investigator or
member making preliminary
investigation of crimes reported to the
police.
• The investigating officer shall submit
this report at the end of the tour of
duty.
• This report shall be prepared in the
number of copies required by the
department for distribution.
• For uniformity of crime reporting this
shall follow the prescribed
classification of offenses indicated,
while duplicate copy shall remain in
the precinct concerned of the
corresponding action.
• The officer assigned to a case shall
make his report at the end of his tour
of duty.
(2) Supplement/progress/final report –
Progress report shall be accomplished
by the investigator continuing the
investigation if the case is left in a
pending status after case report has
been submitted pending status after
case report had been submitted.
• It shall be submitted within three (3)
days after the submission of the initial
report and monthly hereafter until the
case is closed or cleared
• Closing a case shall not be confused with
clearing a case.
• A case is “closed”, for administrative purpose,
when it is no longer being investigated and is
not assigned to an investigator.
• A close case can be either solved or unsolved.
• A case is “cleared” when one or more persons
are arrested, charged with the commission of
the offense and turned over to fiscal or court for
prosecution.
• Based on the Fiscal Report, a complaint may be
filed by the chief of police before the Municipal
or Regional Trial Court.
(3) Continuation Report – This report
shall be used as the second and
succeeding pages of all kinds of reports.
(4) Technical Report – This report shall be
accomplished by the investigator to cover
other angles of the case or the technical
staff whose assistance has been
requested to conduct laboratory
examination of evidence specimen
gathered, to supplement the findings and
report of the investigating officer.
(5) Accident Report – This report
shall serve as the investigation report
of the officer who investigates the
incident. It shall be prepared for each
vehicular accident-fatal, non-fatal,
injury, or damage to property, in
addition to the complaint/assignment
sheet.
(6) Wanted Person Report – This report
shall serve as information on persons who
are wanted by the police shall be flashed
by means of the “notice” wanted Person,
accomplished in quadruplicate copy to be
sent to the provincial Director, PNP of the
province in case of cities/municipalities not
under a provincial commander, the copy
should be sent to the Chief, Philippine
National Police (PNP), Camp Crame,
Quezon City;
 One copy to be sent to the National
Bureau of Investigation, headquarters in
Manila;
 The original to be placed in the “Persons
Wanted File” of the Police Department
concerned and
 The fourth copy to be displayed in the
rouges gallery.
 Strict compliance with the instruction at the
back of Wanted Person Report is required.
1) Daily Record of Events – A daily record
of events is needed to keep all members
of the Police force informed concerning
operations, assignments, and
administrative instruction.
 It shall carry a brief resume of each
complaint/assignment sheet, a
description of missing persons and
persons wanted, and other information of
interest to the police force.
 The officer who prepares the
complaint/assignment sheet may
reproduce the daily record of events on
their typewriter as case is reported or
complaint/assignment sheets executed.
 In this manner, the daily record of events
becomes a chronological cross-reference
to the complaint file.
 A number of copies may be made for
dissemination to different divisions and
units of the department.
 In large departments, the daily record of
events may be duplicated by mimeograph.
 In small police force, a log or police blotter
may be used provided it contains all the
information in the daily record of events and
that incidents shall be assigned a serial
number.
 All investigation reports and other documents
dealing with a case are assembled in a
folder.
 The accumulation of records is called the
case file and is one of the principal
features of a satisfactory record system.
 Cases files are always filed according to
the case number.
2) Arrest and Booking Records –
These reports are required for all persons
arrested. It shall be made out in full on
each person arrested. The following are
types of arrest and booking records.
 SECURITY CLASSIFICATION
OF RECORDS
 Top Secret Matter – Information and
material the unauthorized disclosure
of which would cause exceptionally
grave damage to the nation,
politically, economically, or from a
security aspect.
Secret Matter – Information and
material the unauthorized disclosure
of which would endanger national
security, cause serious injury to the
interest or prestige of the nation or
any governmental activity or would be
of great advantage to a foreign
nation.
Confidential or Restricted Matter –
Information or material the
unauthorized disclosure of which,
while not endangering the national
security would be prejudicial to the
interest or prestige of the nation or
any government activity, or would
cause administrative embarrassment
or unwarranted injury to an individual
or would be of advantage to a foreign
nation.
 READIBILITY SIGNAL STRENGTH
1. Unreadable 1. Very Weak Signal
2. Barely Readable, 2. Weak Signal
Some 3. Fair Signal
Distinguishable 4. Fairly Signal
3. Readable/Practica 5. Good Signal
lly with Difficulty
4. Readable/Practica
lly with no
Difficulty
5. Perfectly
Readable
Section 2 – Service Record
 The service record shall be accorded with
proper care and treated with proper
respect being an official police personnel
document;
 The service record shall contain the
summary of active service of PNP
personnel, presented in chronological
order starting from the date of entry to the
present, with corresponding information on
dates of promotion and its status, salary
adjustments and authority.
 Appendix-A
General Records Disposition
Schedule
Authorized Disposition Period

Six Months
1. IBM Cards and Continuous
Forms, after data are
transferred to magnetic tapes.
One Year
1. Application for
employment/position
2. Application for leave of Absence,
after absences have been
recorded in the leave card.
3. Curriculum Vitae, if
superseded/updated
*** *** ***
Two Year
1. Authorization (overtime, salary, transfer of
funds)
2. Authority for allowance, after authority has
been terminated
3. Canvass of Prices
4. Certificated of Eligible, after date of certificate
5. Directives/Issuances issued by or for the head
of the agency reflecting routinary information of
instruction, if suspended.
6. Directories of Officials/Employees, if
suspended
*** *** ***
Three Years
1. Advice of Allotment
2. Applications for Bonding
Officials/Emplyees (GF 58-A), after
cancellation
3. Bonds of Indemnity for Issue of Due
Warrants (GF 18-A)
4. Budgetary Ceiling
5. Budget Estimates including Analysis
Sheets
6. Cash Disbursement Ceilings
*** *** ***
Four Years
1. Abstract of Sub-Vouchers (GF 26-A)
2. Purchase Order
3. Requisition and Issue Vouchers
covering Emergency Purchase of
Supplies (GF 45-A)
4. Requisition for equipment or
Supplies (BSC Form 1)
5. Requisition on Direct Purchase with
supporting papers
*** *** ***
Five Years
1. Administrative Cases, from the date of decision, Except
vital documentary evidence presented in the case which is
of value for the protection of the civil, legal, property and
other rights of the citizen. DECISIONS ARE PERMANENT
2. Application for Relief of Accountability, after
death/retirement
3. Bill of Lading (GF 9-A), After acceptance of delivery
4. Inventory and Inspection Reports of Unserviceable
Property (GF 17-A), after settlement of credit
5. Invitation to Bid and Bid Tenders (BSC Form 706) after
termination of contract
6. Reports of Overdraft and Misuse of trust Funds, Provided
not involved in any case
*** *** ***
Ten Years
1. Certificates of settlements and Balances, provided
post-audited, finally settled and not involved in any
case
2. Certificates of Shortage, Provided post-audited, finally
settled and not involved in a case
3. Checks and Checks Stubs, provided post-audited,
finally settled and not involved in any case
4. Disbursement Vouchers, , provided post-audited,
finally settled and not involved in any case
5. General Payrolls, , provided post-audited, finally
settled and not involved in any case
6. General Vouchers, , provided post-audited, finally
settled and not involved in any case
*** *** ***
25 Years
1. Acceptance of resignation, after
death/retirement
2. Approval of Retirement/GSIS, after
death/compulsory retirement
3. Certificate of Rural Service, After
death/retirement
4. GSIS, Medicare/Pag-ibig Membership, after
death/ retirement
5. Leave Credit Cards, after retirement/death
*** *** ***
6. Personnel Folder (201 Files), after compulsory
retirement/death
Appointments
Change of Status/name
Delegation of Authority
Designations/Details
Incentive
Awards
Notice of Salary Adjustments
Oath of Office
Service Records
Training and Career Development (Local and
Foreign)
*** *** ***
 Disposal Not Authorized
1. Assessment- Building Plan, Data Sheets,
Sub-division Plans tax Declarations and Titles
2. Assessment Rolls of Taxpayers – Agricultural
Lands and Products, building
(Construction/Renovation/Repair) and
Residential Lands
3. Cases – (Decisions)
4. Certificate of Assessed Value (for legal
purposes)
5. City/Provincial Municipal Appraisal Committee
(Minutes of Meeting)
6. Communication/Correspondence – Policy
and procedural matters, rulings,
indorsement, etc.
7. Declaration of Real Property – Affidavit of
adjoining Owners, Certificates from the
Bureau of Lands/Bureau of Forest
Development, Deeds (Sale, Absolute
Sale, Extra Judicial Partition), Sketch and
Transfer
8. Directives/ Issuances – issued by or for
the agency reflecting policies,
organization, functions, procedure and
processes of the agency
End of Lectures
Thank you!!!