RECORDS RETENTION

AND DISPOSITION

Terence Michael A. Tablizo

Senior Records Management Analyst
Rule 22, Article 35
• requires government agencies
and local governments to create
and maintain in accessible form
full and accurate records of
its affairs until disposition is
authorized
Records Stages

Creation/Receipt Maintenance & Use

(Organization, Distribution,
Retention Scheduling, Retrieval)

Destruction Preservation
Disposition
(Sale, Shredding or (Archival)
Landfill)
 The stage wherein records come into
existence as a result of an agency’s
operations. They are either created by an
agency or received by it
 ORGANIZE RECORDS: Group records
according to a predefined structure to meet
business needs.
 MAINTAIN RECORDS SECURITY: Protect
the integrity of records against unauthorized
alteration or destruction.
 MANAGE RECORDS ACCESS: Grant or limit
the ability of individual(s) to examine records or
record groupings.
 FACILITATE RECORDS RETRIEVAL: Provide
or enable the ability to collect records relevant to a
query.
 AUDIT/OVERSIGHT: Ensure compliance of
agency recordkeeping practices with existing statutes
and internal and external regulations.
 TRANSFER:
– Change physical control to storage areas.
– Change legal custody of agency records to NAP.
 DESTRUCTION: Eliminate from a system a group of
records in compliance with the appropriate records
retention schedule.
 PRESERVATION: Ensure the physical state of records
so they remain usable.
RECORDS DISPOSITION PROGRAM

• Plan of activities for the retention,

preservation and destruction of records.
 Requirements
1. Top Management Support

2. Directives

3. Records Officers/Custodians

4. Records Management Improvement

Committee (RMIC)

5. Phasing of the Program

 ACTIVITIES
1. Records Inventory
2. Records Appraisal
3. Establishment of Retention Period
4. Development of R.D.S.
5. Preparation, Submission & Approval
of R.D.S.
6. Implementation of R.D.P.
 1. RECORDS INVENTORY

(Rule 25, Article 39)

• inventory of public records by all

government offices

• data gathered shall be kept in the

agency records registries
• A descriptive list of the record
holdings of an agency. It is usually
done in records series.
It refers to a group of related records
arranged under a single unit or kept
together as a unit because they deal
with a particular subject, result from
the same activity or have a special
form.
• Turn Over of Records to Successor
(Rule 36, Article 57 of the IRR of RA 9470)

• Records Management Audit (Rule 52,

Article 87-88 of IRR)

• Serve as guide in the absence of a

records officer/custodian
• Heritage records (used as material for
tourism guides, inspiration of product design, and
teaching modules)
▪ To identify and locate the records series

▪ To determine the volume of the records

series (in cubic meters)

▪ To determine the age of the records

▪ To find out the present and future needs of

the agency in terms of filing equipment, floor

space and records personnel
 NAP Form No. 1
Records Inventory & Appraisal Form
NATIONAL ARCHIVES OF THE PHILIPPINES

Paco, Manila
Records Management Services Division

Don L. Ortiz
Records Management Analyst II
 708-8792

March 22, 2018

1) Records Disposal Files
Analysis Report
Authority to Dispose Records
Availment Letter/Agency Contract
Certificate of Disposal
Notice of Disposal
Request for Authority to Dispose
Records
1980-2015
7 cu.m.
RMSD &
RCD Storage
Area/Cabinets
 ANA
As the Need
Arises
none
• Records are carefully
and systematically
studied and analyzed.
• To establish a reasonable and
acceptable retention period.
• To identify records of no value which can
be destroyed immediately.
• To identify records that can be transferred
from file stations to records storage areas.
• To identify records of permanent value.
1. Time Value
- Temporary - Permanent

2. Utility Value
- Administrative - Legal
- Fiscal - Archival
TIME VALUE – refers to specific
period of usefulness in terms of
time
 TIME VALUE
• Permanent - those worthy of
preservation because of their continuing
usefulness to the agency

• Temporary - those which have

served the purposes for which they
have been created, or when action has
been accomplished or terminated
UTILITY VALUE – refers to the
nature of usefulness of records to
agency operations
 UTILITY VALUE
• Administrative Value – refers to the
usefulness of records to the originating or
succeeding agency in the conduct of
current business

• Fiscal Value - refers to the information

on the usefulness of records about the
financial transactions & obligations of
agencies/organizations
 UTILITY VALUE

• Legal Value - refers to the value of

records containing evidence of legally
enforceable rights or obligations of
government and/or private person

• Archival Value –refers to value

attached to records that remain useful for
the govt. & the general public
 Appraisal of Records
UTILITY TIME
Records Series Adm. Fiscal Legal Arch. Temp. Perm.
Retention Period – is a
specified length of time
within which a record file
may be maintained or
stored in the agency
before it is finally
disposed of.
 Factors in Determining
Retention Period

V – volume
A – activity
L – legal
U – use
E – economic
 Retention Periods for Temporary
Records maybe expressed in Two Ways:

1. A fixed period after records in

the series or system are created
(i.e. 2 yrs; 5 yrs; 10 yrs.)

2. A fixed period after a predictable

event. The wording depends on
the action involved
(i.e. After updated; after superseded)
 DON L. ORTIZ
Records Management Analyst II
Terence Michael A. Tablizo
ELIZABETH B. EJE
OIC-RMSD
4. DEVELOPMENT OF RECORDS
DISPOSITION SCHEDULE
(Rule 28, Article 44)
• All government offices, including
GOCCs shall prepare and
submit a records disposition
schedule which shall govern the
disposition of all the records of
that government office.
 RECORDS DISPOSITION
SCHEDULE (RDS)

• A written account of the

action to be taken with respect
to all records maintained by the
agency
 RDS  Cover all records
created and maintained by
RDS
SHOULD: the agency;
SHOULD:  Provide an accurate
description of each
record series;
 State the number of years
(retention period)
during which each record
series should be kept before
it can be transferred to the
records center or to the
archives or finally disposed
or destroyed.
 CONCEPT OF RDS
A Records Disposition Schedule
is just as much concerned with
the retention of valuable
records as it is concerned with
the destruction of worthless
records.
 BENEFITS OF RDS
Records for legal, fiscal and administrative purpose
will not be destroyed prematurely

Records that are no longer useful be destroyed

legally

Ensure the preservation of records with historical

and research value

Determine what and when records may be

transferred to inactive storage

Assist with making reformatting decision

NAP Form No. 2
KINDS OF DISPOSITION
SCHEDULES
General Records Disposition Schedule
Agency Records Disposition Schedule
5. PREPARATION,
SUBMISSION AND
APPROVAL OF RDS
6. APPLICATION OF RDS

Retention of active records

Preservation of permanent
records
Transfer of records

Destruction/Disposal of records
 RECORDS
DISPOSAL
PROCEDURE
 Disposal of Public Records
(Rule 30, Article 46)
No government department, bureau,
agency and instrumentality shall
dispose of, destroy or authorize the
disposal or destruction of any public
records, which are in the custody or
under its control except with the prior
written authority of the executive
director
GENERAL REQUIREMENTS ON
THE DISPOSAL OF RECORDS
Use GRDS/Agency RDS or other
specific laws and regulations in
determining public records for disposal

Only records with a Disposal Schedule

are destroyed after the completion of its
period for storage

Records to be disposed have a number

and subject/title as in the Agency
RDS/GRDS
GENERAL REQUIREMENTS ON
THE DISPOSAL OF RECORDS
Separate the records for disposal from
those for further retention as suggested
by the NAP

Do not dispose any public records

under their administration and control
without authority from the NAP

Do not dispose records that are still

involved in any case or still subject of
audit by the COA
 DISPOSAL PROCEDURE

1 2 3

Request
for
Authority
to Dispose
Records
NAP Form No. 3
Request for Authority to
Dispose of Records
 AGENCY NAME:
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas

REQUEST FOR AUTHORITY TO DISPOSE ADDRESS:

OF RECORDS

DATE: TELEPHONE NUMBER: EMAIL ADDRESS:

GRDS/ RETENTION PERIOD

RDS ITEM RECORD SERIES TITLE AND DESCRIPTION PERIOD COVERED AND PROVISION/S
NO. COMPLIED (If Any)

LOCATION OF RECORDS: VOLUME IN CUBIC METER:

PREPARED BY: (Name & Signature) POSITION:

CERTIFIED AND APPROVED BY:

This is to certify that the above mentioned records are no longer needed and
not involved nor connected in any administrative or judicial cases.

Name and Signature of Agency Head

or Duly Authorized Representative
 AGENCY NAME:
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas

REQUEST FOR AUTHORITY TO DISPOSE ADDRESS:

OF RECORDS

DATE: TELEPHONE NUMBER: EMAIL ADDRESS:

GRDS/ RETENTION PERIOD

RDS ITEM RECORD SERIES TITLE AND DESCRIPTION PERIOD COVERED AND PROVISION/S
NO. COMPLIED (If Any)

NATIONAL ARCHIVES OF THE PHILIPPINES

Port Area, Manila

LOCATION OF RECORDS: VOLUME IN CUBIC METER:

PREPARED BY: (Name & Signature) POSITION:

CERTIFIED AND APPROVED BY:

This is to certify that the above mentioned records are no longer needed and
not involved nor connected in any administrative or judicial cases.

Name and Signature of Agency Head

or Duly Authorized Representative
 AGENCY NAME:
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas

REQUEST FOR AUTHORITY TO DISPOSE ADDRESS:

OF RECORDS

DATE: TELEPHONE NUMBER: EMAIL ADDRESS:

GRDS/ RETENTION PERIOD

RDS ITEM RECORD SERIES TITLE AND DESCRIPTION PERIOD COVERED AND PROVISION/S
NO. COMPLIED (If Any)

Feb. 4, 2016 521-3034 rmsd.nap@gmail.com

LOCATION OF RECORDS: VOLUME IN CUBIC METER:

PREPARED BY: (Name & Signature) POSITION:

CERTIFIED AND APPROVED BY:

This is to certify that the above mentioned records are no longer needed and
not involved nor connected in any administrative or judicial cases.

Name and Signature of Agency Head

or Duly Authorized Representative
 AGENCY NAME:
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas

REQUEST FOR AUTHORITY TO DISPOSE ADDRESS:

OF RECORDS

DATE: TELEPHONE NUMBER: EMAIL ADDRESS:

GRDS/ RETENTION PERIOD

RDS ITEM RECORD SERIES TITLE AND DESCRIPTION PERIOD COVERED AND PROVISION/S
NO. COMPLIED (If Any)

RDS 44 Logbooks of Incoming & Outgoing 2000-2010 2 years

Communications

GRDS 7 Communications (Routine) 2000-2010 2 years, acted upon

LOCATION OF RECORDS: VOLUME IN CUBIC METER:

PREPARED BY: (Name & Signature) POSITION:

CERTIFIED AND APPROVED BY:

This is to certify that the above mentioned records are no longer needed and
not involved nor connected in any administrative or judicial cases.

Name and Signature of Agency Head

or Duly Authorized Representative
 AGENCY NAME:
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas

REQUEST FOR AUTHORITY TO DISPOSE ADDRESS:

OF RECORDS

DATE: TELEPHONE NUMBER: EMAIL ADDRESS:

GRDS/ RETENTION PERIOD

RDS ITEM RECORD SERIES TITLE AND DESCRIPTION PERIOD COVERED AND PROVISION/S
NO. COMPLIED (If Any)

Storage Area Approximately 0.5 cu.m.

LOCATION OF RECORDS: VOLUME IN CUBIC METER:

PREPARED BY: (Name & Signature) POSITION:

CERTIFIED AND APPROVED BY:

This is to certify that the above mentioned records are no longer needed and
not involved nor connected in any administrative or judicial cases.

Name and Signature of Agency Head

or Duly Authorized Representative
 AGENCY NAME:
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas

REQUEST FOR AUTHORITY TO DISPOSE ADDRESS:

OF RECORDS

DATE: TELEPHONE NUMBER: EMAIL ADDRESS:

GRDS/ RETENTION PERIOD

RDS ITEM RECORD SERIES TITLE AND DESCRIPTION PERIOD COVERED AND PROVISION/S
NO. COMPLIED (If Any)

Purita Pangilinan Admin. Officer

LOCATION OF RECORDS: VOLUME IN CUBIC METER:

PREPARED BY: (Name & Signature) POSITION:

CERTIFIED AND APPROVED BY:

This is to certify that the above mentioned records are no longer needed and
not involved nor connected in any administrative or judicial cases.

Name and Signature of Agency Head

or Duly Authorized Representative
 AGENCY NAME:
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas

REQUEST FOR AUTHORITY TO DISPOSE ADDRESS:

OF RECORDS

DATE: TELEPHONE NUMBER: EMAIL ADDRESS:

GRDS/ RETENTION PERIOD

RDS ITEM RECORD SERIES TITLE AND DESCRIPTION PERIOD COVERED AND PROVISION/S
NO. COMPLIED (If Any)

JOCELYN G. REYES
Chief, Finance & Admin.
Division
LOCATION OF RECORDS: VOLUME IN CUBIC METER:

PREPARED BY: (Name & Signature) POSITION:

CERTIFIED AND APPROVED BY:

This is to certify that the above mentioned records are no longer needed and
not involved nor connected in any administrative or judicial cases.

Name and Signature of Agency Head

or Duly Authorized Representative
 AGENCY NAME:
NATIONAL ARCHIVES OF THE PHILIPPINES
Pambansang Sinupan ng Pilipinas
NATIONAL ARCHIVES OF THE PHILIPPINES
REQUEST FOR AUTHORITY TO DISPOSE ADDRESS:
OF RECORDS
Port Area, Manila
DATE: TELEPHONE NUMBER: EMAIL ADDRESS:

February 4, 2016 521-3034 rmsd.nap@gmail.com

GRDS/ RETENTION PERIOD

RDS ITEM RECORD SERIES TITLE AND DESCRIPTION PERIOD COVERED AND PROVISION/S
NO. COMPLIED (If Any)

RDS 44 Logbooks of Incoming & Outgoing 2000-2010 2 years

Communications

GRDS 7 Communications (Routine) 2000-2010 2 years, acted upon

LOCATION OF RECORDS: VOLUME IN CUBIC METER:

Storage Area Approximately 0.5 cu.m.

PREPARED BY: (Name & Signature) POSITION:

Purita Pangilinan Admin. Officer

CERTIFIED AND APPROVED BY:

This is to certify that the above mentioned records are no longer needed and
not involved nor connected in any administrative or judicial cases.

JOCELYN G. REYES
Chief, Finance & Admin Division
Name and Signature of Agency Head
 DISPOSAL PROCEDURE

1 2

Request Records
for examination
Authority and
to Dispose appraisal
Records
NAP Form No. 4

Records
Management
Analysis
Report
 DISPOSAL PROCEDURE

1 2 3

Request Records Approval

for examination of the
Authority and Executive
to Dispose appraisal Director
Records
NAP Form No. 5

Authority to
Dispose of
Records
DISPOSAL PROCEDURE

Notice
of the
Approval
Notice of the
Approval of
the Request
DISPOSAL PROCEDURE

4 5

Notice Actual
of the Disposal
Approval of
Records
MODE OF DISPOSAL

Landfill
MODE OF DISPOSAL

Shredding
MODE OF DISPOSAL

Sale
DISPOSAL PROCEDURE

4 5 6

Notice Actual Issuance

of the Disposal of
Approval of Certificate
Records of Disposal
PROBLEMS ENCOUNTERED
PROBLEMS ENCOUNTERED
Requirements for
Disposal of
Damaged Public
Records
 REQUIREMENTS
− Official Report pertaining to the
non-usability of the records;
causes of the damage to the
public records; photo
documentation and information
on what other agency records
series can the data or information
of the damaged public records be
found;
 REQUIREMENTS

− Request for Authority to

Dispose of Records (NAP Form
No. 3) in three (3) copies and
properly filled-up with the specific
record series, period covered and
volume of the damaged public
records, approved and signed by
agency officials concerned;
 REQUIREMENTS

− Certification that the said

damaged public records that are
subject of audit by the
Commission on Audit were post-
audited and finally settled, and/or
the records involved in a case or
investigation were finally decided
upon or settled, and
 REQUIREMENTS

− If expediency demands and upon

the order of the ED, an official
report from NAP Representative
who shall conduct and actual
physical inspection and
evaluation of the damaged public
records.
 OFFENSES
Rule 67, Article 123
A person who, willfully or negligently

 damages a public record

 disposes of or destroys a public record
 contravenes or fails to comply with
any provision of this Act
 PENALTIES
Rule 68, Article 124

• P500,000.00 to P1M
• 5 to 15 years imprisonment
• both fine and imprisonment
 perpetual disqualification from public
office
• forfeiture in favor of the govt., of his salary and
other lawful income
Thank you!