RETENTION, TRANSFER AND DISPOSAL OF RECORDS IN THE COURT LIBRARIES MILAGROS SANTOS-ONG 4TH National Convention and Elections

of the Court Librarians Association of the Philippines (CLAPHIL) DOJ Academy, Clarkfield, Angeles City, Pamapanga April 16, 2009 DEFINITION PUBLIC RECORDS - Records or classes of records, in any form, in whole or in part , created or received by the government agency in the conduct of its affairs, an d have been retained by the government agency or its successors as evidence or b ecause of the information therein.(Rep. Act No. 9470, Art. 1, sec. 4(w)

PUBLIC RECORDS AS EVIDENCE AND CERTIFICATION FELIPA DELFIN vs. PRESENTACION D. BILLONES G.R. No. 146550, March 17, 2006 In court proceedings, there is a distinction between Public records and Certification. The requisites for documents to be considered as Public Records were enumerated. Important requisite for public records to be prima facie evidence it that they must be done performance of a duty by a public officer. Justice Dante Tinga opined that Documents consisting of entries in public records made in the performance of a du ty by a public officer are prima facie evidence of the facts therein stated.[44] Public documents are (i) the written official acts, or records of the official acts of the sovereign authority, official bodies and tribunals, and public offic ers, whether of the Philippines, or of a foreign country; (ii) documents acknowl edged before a notary public except last wills and testaments; and (iii) public records, kept in the Philippines, of private documents required by law to be ent ered therein.[45] Public documents may be proved by the original copy, an officia l publication thereof, or a certified true copy thereof;[46] and when a copy of a document or record is attested for the purpose of evidence, the attestation by the officer having legal custody of the record must state that the copy is a co rrect copy of the original, or a specific part thereof, as the case may be.[47] A duly-registered death certificate is considered a public document and the entri es found therein are presumed correct, unless the party who contests its accurac y can produce positive evidence establishing otherwise.[48] Nevertheless, this pr esumption is disputable and is satisfactory only if uncontradicted, and may be o vercome by other evidence to the contrary. The documents presented by respondents were mere certifications and not the cert ified copies or duly authenticated reproductions of the purported death certific ates. RECORDS Information whether in its original form or otherwise, including documents, sign atures, seals, texts, images, sounds, speeches, or data compiled, recorded, or s tored as the case may be: 1. In written form or any material; 2. On film, negative, tape or other medium so as to be capable of being repr oduced; or 3. By means of recording devise or process, computer or electronic device or process

.(Rep. Act No. 9470, Art. 1, sec. 4(x) JUDICIAL RECORDS Records presented to, or belonging to the Supreme Court including all the judicial courts and judicial organizations under its Jurisdiction .(Rep. Act No. 9470, Art. 1, sec. 4(k)

JUDICIAL RECORDS Records presented to *Decisions including the Rollos Belonging to the Supreme Court including all the judicial courts and judicial o rganizations * Issuances and other pertinent regulations DECISIONS Court Records in Rollo PENDING Accessible only to the Parties DECIDED May be Access National Archives Court of Origin Information and Experioence to share ACCESS Parties to the case A.M. No. 1120-MJ May 5, 1976 DOMINADOR C. BALDOZA vs. JUDGE RODOLFO B. DIMAANO R E S O L U T I O N ANTONIO, J.: Verified letter-complaint filed the Municipal Secretary of Taal, Batangas, charg ed Municipal Judge Rodolfo B. Dimaano with abuse of authority in refusing to all ow employees of the Municipal Mayor to examine the criminal docket records of th e Municipal Court to secure data in connection with their contemplated report on the peace and order conditions of the said municipality. Judge Dimaano stated t hat there has never been an intention to refuse access to official court records ; that although court records are among public documents open to inspection not only by the parties directly involved but also by other persons who have legitim ate interest to such inspection, yet the same is always subject to reasonable re gulation as to who, when, where and how they may be inspected. He further assert ed that a court has unquestionably the power to prevent an improper use or inspe ction of its records and the furnishing of copies there from may be refused wher e the person requesting is not motivated by a serious and legitimate interest bu t acts out of whim or fancy or mere curiosity or to gratify private spite or to promote public scandal. The New Constitution now expressly recognizes that the people are entitled to inf ormation on matters of public concern and thus are expressly granted access to o fficial records, as well as documents of official acts, or transactions, or deci sions, subject to such limitations imposed by law. 4 The incorporation of this r ight in the Constitution is a recognition of the fundamental role of free exchan ge of information in a democracy. There can be no realistic perception by the pu blic of the nation's problems, nor a meaningful democratic decision making if th ey are denied access to information of general interest. Information is needed t o enable the members of society to cope with the exigencies of the times. As has been aptly observed: "Maintaining the flow of such information depends on prote ction for both its acquisition and its dissemination since, if either process is interrupted, the flow inevitably ceases. " 5 However, restrictions on access to certain records may be imposed by law. Thus, access restrictions imposed to con

trol civil insurrection have been permitted upon a showing of immediate and impe nding danger that renders ordinary means of control inadequate to maintain order . JUDICIAL RECORDS Librarians records *Decisions *Issuances and other pertinent regulations (Last Claphil Convention) *Records Rep. Act No. 9470, Art. 1, sec. 4(x) Information whether in its original form or otherwise, including documents, signatures, seals, texts, images, sounds, speeches, or data compiled, recorded, or stored

Librarians records Inventory/Accession Record Card Catalog Indexes

CUSTODY OF COURT RECORDSClerk of Court ATTY. GENEROSO LEGASPI, JR.vs.ATTY. J. ROGELIO T. MONTERO III, Clerk of Court, MT C in Cities, San Jose del Monte City, Bulacan A.M. No. P-05-1986 April 15, 2005 Administrative complaint against the Clerk of Court for grave misconduct and inf idelity in the custody of documents relative to a criminal case Justice Callejo opined that no ill motive was attributed to Atty. Montero and th e records of the case were eventually found but was still fnedP5,000.00 Case was chosen for it explained the importance of court records and the due di ligence that must be performed by the court official who has custody to said records Justice Romeo Callejo Jr. stated Under the 2002 Revised Manual for Clerks of Court,9 the branch clerk of court as the administrative officer of the court, among others, controls and supervises t he safekeeping of court records.10 Moreover, Section 7, Rule 136 of the Rules of Court specifically mandates the clerk of court to "safely keep all records, pape rs, files, exhibits and public property committed to his charge." As custodian of the records of the court, it is the duty of the clerk of court to ensure not on ly that the same are safely kept in his or her possession, but also those they w ill be readily available upon the request of the parties or order of the court.1 1 Indeed, the clerk of court is an essential officer of our judicial system. As a ranking officer of the court, he performs delicate administrative functions vita l to the prompt and proper administration of justice.12 As custodian of judicial records, it is incumbent upon the clerk of court to ensure an orderly and effic ient court management system in the court, and to supervise the personnel under his office to function effectively. A clerk of court plays a key role in the comp lement of the court and cannot be permitted to slacken his job under one pretext or another.13 In fact, it has been held that branch clerks of court are chiefly responsible for the shortcomings of subordinates to whom administrative functio ns normally pertaining to the branch clerk of court were delegated.14 Hence, cle rks of court must be assiduous in performing official duty and in supervising an d managing court dockets and records.15

CUSTODY OF COURT RECORDSJudge RODRIGO Q. TUGOT vs. Judge MAMERTO Y. COLIFLORES A.M. No. MTJ-00-1332. Feb.16, 2004 This administrative case against Judge Mamerto Y. Coliflores of the MTC in Cities (Branch 1) of Cebu City for gross ignorance of the law, knowingly ren dering an unjust judgment, infidelity in the custody of public records/documents , and violation of Section 3 (e) of Republic Act No. 3019, relative to Civil Cas e No. R-35137 entitled Rodrigo Tugot, et al. vs. Fely Lausa, et al. for Ejectment was filed by Rodrigo Q. Tugot in in Letter-Complaint dated October 14, 1998. It was indorsed by the Office of the Ombudsman to the Office of the Court Administr ator (OCA) on 18 November 1998 Negligence in the Performance of an Administrative Responsibility Respondent judge should also be sanctioned for misplacing complainants No tice of Appeal. As administrative officers of the courts, judges should organize and supervise court personnel to ensure the prompt and efficient dispatch of bu siness, as well as the observance of high standards of public service and fideli ty at all times.[17] He should adopt a system of records management, so that fil es are kept intact despite the temporary absence of the person primarily respons ible for their custody. In this case, the misplacement of the Notice of Appeal indicates gross negligenc e. Respondent should have been more prudent in determining the cause of its temp orary loss, which caused unnecessary inconvenience to complainant, whose right to appeal was affected. Considering that he has already retired from service, suspension is no longer a f easible penalty. Judge Mamerto Y. Coliflores was found guilty of negligence and violation of a Su preme Court Rule and directive, was FINED P20,000, to be deducted from his retir ement benefits. CIRCULAR LETTERGUIDELINES ON DISPOSAL AND RETENTION OF RECORDS OF RURAL/COOPERATI VE BANKS (2002) To guide rural/cooperative banks in the disposition of their records and documen ts which no longer need to be retained and in determining which of the records a re of permanent value and therefore should be preserved, the following guideline s on the disposal and retention of records of rural/cooperative banks are hereby issued: A. Classification of Records and Documents Retention Period 1. Accounting Recordsa. Books of Accounts, Audited PS, Annual Reports Permanent b. Tickets and supporting papers 10 years c. Official receipts (2nd or 3rd copy) 10 years 2. Organizational papers for the establishment of rural/ cooperative bank, branc hes/offices (organizational file), special license/s authority granted by BSP (e .g. authority to accept D/D, government deposit, fringe benefit plan) Permanent 3. Manual of operations, including compliance system, policies on personnel, sec urity and other related matters Permanent 4. Stock and transfer book and related records and documents Permanent Reports to BSP(Financial and non-financial reports) 6 years 9. Reports to other government and non-govt. institutions Minimum of 6 years or as prescribed by the institution concerned 10. Records and documents with court cases/complaints Permanent Classification of Records and Documents 11. Documents, certificates of ownership/titles on bank assets Permanent 12. All other records/documents of all transactions, e.g. loans and investments, disposal of assets, deposit liabilities and borrowings, expenditures and income , disbursements, disposal of assets 10 years from dates when accounts were c losed/disposed/settled Notwithstanding the aforementioned retention periods, banks may preserve for a l

onger period those records/documents they deem necessary. B. Procedural requirements on disposal of banks records and documents 1. No rural/cooperative bank shall dispose of any records without the prior approval its board of directors. 2. Notice for disposal of records and documents in the DRB-prescribed form (Form No. which shall include the proposed date of disposal and list of the records and do cuments to be disposed of in accordance with the above guidelines shall be submi tted to the Dept. of Rural Banks within 10 banking days from date of approval of the board of directors. A copy of the afore-cited board resolution duly certifie d by the banks corporate/cooperative secretary should likewise be attached to the Notice. The bank may proceed to dispose of the records and documents in the submitted li st if after thirty (30) banking days from date the notice required herein shall have been received by DRB, no advice against such notice has been received by th e bank concerned. 3. All records and documents for disposal must be burned or shredded in the prese nce of a director of the bank duly designated by the board of directors, the Chi ef Operating Officer or equivalent rank and Compliance Officer. 4.The designated director, the Chief Operating Officer (or its equivalent) and th e Compliance Officer shall execute a joint affidavit (Form No. 2) attesting to t he burning/shredding of the records/documents. The original and triplicate copies shall be kept permanently by the Treasurer or Cashier and the duplicate copy sh all be submitted to DRB within ten (10) banking days from date of actual disposa l. For strict compliance. Adopted: 13 March 2002 (SGD.) R.P. LIRIO Managing Director/Sector-In-Charge REPUBLIC ACT NO.9470with Implementing Rules and Regulations (May 21, 2007) AN ACT STRENGTHENING THE SYSTEM OF MANAGEMENT AND ADMININISTRATION OF ARCHIVAL A ND RECORDS ART. III MANAGEMENT OF PUBLIC RECORDS SEC. 18 Disposal of Public Records SEC.19 - Authority for the Disposition of Public Records SEC. 20 Transfer of Public Records SEC. 21 Deferred Transfers of Public Records Supreme Court of thePhilippines CIRCULARS on the DISPOSAL AND/OR DESTRUCTION OF COURT RECORDS, PAPERS AND EXHIBITS ADMINISTRATIVE ORDER NO. 10 (April 29, 1981) Administrative Order No. 120-2007 (July 7, 2007) Administrative Order No. 170-2008 (Nov. 11, 2008) ADMINISTRATIVE ORDER NO. 10 (April 29, 1981) DISPOSAL AND/OR DESTRUCTION OF COURT RECORDS, PAPERS AND EXHIBITS To establish a uniform procedure in the disposal or destruction of records, pape rs and exhibits pertaining to court cases terminated for at least fifteen (15) y ears, it is hereby provided that the Court of Appeals, Sandiganbayan, Court of T ax Appeals, Courts of First Instance, Circuit Criminal Courts, Juvenile and Dome stic Relations Courts, Courts of Agrarian Relations, City and Municipal Courts s hall follow the following rules: Notice of the intention to dispose of and/or destroy court records, papers and e xhibits should be made known to all interested parties by publication in a newsp aper of general circulation, once a week for two (2) consecutive weeks; Such notice should likewise be posted for two (2) weeks in three (3) public plac es, such as the provincial capitol, the city or municipal hall, the public marke

t and the court house; Such court records, papers and exhibits to be disposed of and/or destroyed shoul d pertain to cases already terminated for at least fifteen (15) years; Any party or counsel of record interested in withdrawing any record or exhibit i ntended to be disposed of and/or destroyed may file the corresponding motion for such purpose before the scheduled date of disposal and/or destruction; 5. The destruction shall be carried out not earlier than one (1) month from and after the date of the last publication, which shall be done by selling or b urning said records, papers and exhibits, or by some other practicable manner; 6. The sale shall be conducted in the presence of the Executive Judge or th e Clerk of Court and the Resident Auditor of the lower courts. If the sale is ma de in provincial courts, the Executive Judge and the Clerk of Court shall be pre sent during the conduct of the sale with the representative of the Commission on Audit in the Area; 7. The Clerk of Court shall issue the official receipt to the buyer of the old court records, papers, or exhibits; 8. The Clerk of Court shall report to the Court Administrator the collectio n in a separate report of collection, specifying the nature of the income; & 9. The Clerk of Court shall remit to the National Treasury the proceeds fro m the sale under a separate Remittance Advice to the credit of the Courts of Fir st Instance, with notice of such remittance furnished the Court Administrator. Strict observance of the above rules is hereby enjoined. This order supersedes any previous administrative order or circular issued on th e matter. (Sgd.) ENRIQUE M. FERNANDO Chief Justice ADMINISTRATIVE ORDER NO. 10 April 29, 1981- Continued Administrative Order No. 120-2007 (July 7, 2007) GUIDELINES IN THE DISPOSAL AND/OR DESTRUCTION OF COURT RECORDS, PAPERS AND EXHIB ITS Administrative Order No. 170-2008 (Nov. 11, 2008) REVISED GUIDELINES IN THE DISPOSAL AND/OR DESTRUCTION OF COURT RECORDS, PAPERS A ND EXHIBITS MAJOR DIFFERENCES OF THE 3 CIRCULARS ADMINISTRATIVE ORDER NO. 10 (April 29, 1981) by Chief Justice Enrique M. Fernando Administrative Order No. 120-2007 (July 7, 2007 Administrative Order No. 170-2008 (Nov. 11, 2008) by Chief Justice Reynato S. Puno Major differences lie between Adm. Order No. 10 s. 1981 and the two Administrat ive Orders of Chief Justice Puno Administrative Order No. 120 & 170 are almost the same except: - Administrative Order No. 170 added the pertinent provision of Rep. A ct No. 9470 which was enacted almost at the same time (No. 3, 5,8) - No. 1 last sentence - In addition, a duplicate original copy of each decision must be sent to the Supreme Court Library to preserve the repositorial value of judicial statements set forth therein.

AO 10 120-2007 170-2008

Age 15 yrs 7 yrs 7 yrs Court records Dispose all Retain some Retianssome Decisions No prov Archives Archives SC Lib Notice Interested parties OCA 30 days OCA 30days Authority ED Ntl Archives Posting Newspaper 1 for 2 wks 30days at HOJ,Prov. Municipal Capitol, Post Office same AO 10 AO 120-2007 AO 170-2008 Notice to interested to retrieve Parties or counsel 1 mo. Parties or Counsel 30 days same People present PF/EJ,COA PF/EJ,COA PJ/EJ,CC, NA,COA Rep Certificates NAP 3-5 sale CC issues OR, remit to National Treasury CC issues OR, JDF CC issues OR, JDF Disposal report No provision 30 days after 30 days after RETENTION ADMINISTRATIVE ORDER No. 10 Everything is Disposed Administrative Order No. 120-2007 Administrative Order No. 170-2008 Court records, documents, exhibits are disposed Actual Decision Local Records Office & Supreme Court Library SIGNIFICANCE TO LIBRARIANS

A.1. Decisions - Availability to the Public specially the Old decisions of the l ower court Posting 2. Digitization A.2 Librarians Records Inventory/Accession Record a. COA Renewal b. Transfer from Judge c. Disposal Reports - Accountability Card Catalog Indexes Judicial and Librarian Records What records must a Court Librarian Retain and What must be Disposed or Transfer red? Decisions Retained Digitization - CDS A.2 Librarians Records Inventory/Accession Record Retained but A Copy is Submitted Annually - DIGITIZED a. COA Renewal b. Transfer from Judge c. Disposal Reports - Accountability Card Catalog Indexes - DIGITIZED ANSWER RETAIN ALL JUDICIAL AND LIBRARIANS RECORDS TRANSFER DUPLICATES such as CDs of Digitized decisions or the annual inventory DISPOSE - NON- JUDICIAL AND LIBRARIANS RECORDS

THANK YOU