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. \lV-TOIi',.. RECORDS SECTION MANUAL Section No.~6 C"o Revision No. 00~Qi \

~ERC~Section: Effectivity Date:~ + TABLE OF CONTENTS.~.

Subject: Subiect No.Page No:

\)v.TO~.•. RECORDS SECTION MANUAL Section No. 1i(,0 ('0 Revision No. 00Jo.qf \

~IERC~ Section: Effectivity Date:~ •. INTRODUCTION.~ .. Subject: Subject No. 1

GENERAL PROVISIONS Paae No:1 of 2

PURPOSE

The Energy Regulatory Commission Records Section Manual is a compilationof the policies and implementing procedures of the Records Section ofFinance and Administrative Services. Its primary purpose is to inform theemployees of the policies and the corresponding procedures governing theEnergy Regulatory Commission.

SCOPE

The Manual includes the policies and procedures governing EnergyRegulatory Commission. It is divided into major sections and furthersubdivided into subjects. Specific subjects are fully explained in the followingformat:

1. Policy Statements2. Policy Guidelines3. Definition of Terms4. Procedure Details5. Notes6. Reference7. Records

. REVISIONS

Revisions to the policies included in this Manual shall be subject to theapproval of the Commission en Banc, while the Chief Executive Officer, uponrecommendation of the Executive Director approves the revisions to theprocedures. The Finance and Administrative Services in coordination with theInternal Audit Unit are responsible for affecting and attesting changes to thisManual 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 toauthorized copyholder who is responsible for its updating and safekeeping.Entitlement to hold copy of this Manual is granted based on the position andshould remain so regardless of the person as the occupant. The copyholdershould make this Manual available to the personnel in need of it in theperformance of his assigned task.

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~\JlTO~r RECORDS SECTION MANUAL Section No. 1~o ('0 Revision No. 00'" ..~ERC) Section: Effectivity Date:~ •.. INTRODUCTION.~.

Subject: Subject No.1GENERAL PROVISIONS Page No:2 of 2

DISTRIBUTION AND CUSTODIANSHIP Cont'd

Each copy of this Manual is registered by number with the Internal Audit Unitunder the name of the occupant of the position entitled to have possession ofa copy of this Manual. Should the occupant be transferred to another positionwithin or intends to sever employment with the Energy RegulatoryCommission, said Officer must advise the Internal Audit Unit through aMemorandum in two (2) copies of said occurrence at least five (5) days priorto the intended transfer or severance. Notice to the Internal Audit Unit isintended to facilitate clearance of accountability over this Manual.

~v.TOIi'.•.. RECORDS SECTION MANUAL Section. No. 1~(j <'0 Revision No. 00...'" :\~ERCD Section: Effectivity Date:~ " INTRODUCTION.~.

Subject: Subiect No.2ROLE OF THE RECORDS SECTION Page No: 1 of 1

The Records Section of the General Administrative Division under theFinance and Administrative Service is responsibleforthe receipt, custody anddisposition of records, other than those petitions/applications, compliances,motion and such other pleadings or documents filed in relation to active casein the Docket Section.

The Records Section specifically handle the proper recording and filing ofincoming and outgoing correspondence, publications and other documents,the maintenance of a complete and updated records retention and dispositionschedule, provides services relative. to the mailing and delivery ofcorrespondence and other functions relative to recordsmanagemenUcustodianship.

I,

\l\,..A.TOIf,... RECORDS SECTION MANUAL Section. No. 1~6 "0 Revision No. 00fERC} Section: Effectivity Date:~ •. INTRODUCTION.~.

Subject: Subiect No. 3MANUALCOPYHOLDERS Pace No: 1 of 1

AUTHORIZED COPYHOLDERS

Chainnan/CEO

Commissioners

Executive Director

RSM-01

- RSM-02

- RSM-03

Director, Office of the General Counsel and Secretariat - RSM-04Director, Consumer Affairs Service - RSM-05Director, Financial and Administrative Service - RSM-06Director, Legal Service - RSM-07Director, Market Operations Service - RSM-08Director, Planning and Infonnation Service - RSM-09Director, Regulatory Operations Service RSM-10

,,

Officer-in-Charge, Mindanao Field OfficeOfficer-in-Charge, Visayas Field Office

Records Section

Chief, Administrative Division

Internal Audit Unit

- RSM-11RSM-12

- RSM-13

- RSM-14

\)\..I'TOIi')- RECORDS SECTION MANUAL Section No. 2~o C'o Revision No. 00<' ••.

~lERCJ Section: MAIL ADMINISTRATION and Effectivity Date:~ " MESSENGERIAL SERVICE SYSTEM.~.

Subject: Subiect NO.1GENERAL POLICY Pace No:1 of 1

POLICY STATEMENT

INCOMING DOCUMENTS

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

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

Any submission of application/ pleading/motion or any other paper inconnection with any case under the quasi-judicial authority.pHhe Commissionshall be received by the Docket Section.

OUTGOING DOCUMENTS

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

As a rule, the release and/or delivery of these documents shall be donethrough the registered mail. However, outgoing documents such as notices ofhearing, payments and remittances, which demand priority, shall be sent bymessenger of this Commission, where practical.

For lawyers/utilities and other business entity/ties), who would prefer to pickup letters/orders addressed to them, a telephone advice shall be given assoon as letters/orders is received. If the addressee is unable to pick up theletter/orders until the following day, the documents shall be sent by registeredmail or through the Commission's messenger if immediate delivery isrequired.

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I. POLICY

RECORDS SECTION MANUAL

Section: MAIL ADMINISTRATION andMESSENGERIAL SERVICES ;SYSTEM

Subject: ,INCOMING DOCUMENTS

Section. No. 2Revision No.1Effectivity Date:

October 2011Subect No.2Pa e No: 1 of4

Without any unnecessary delay, all incoming documents received bythe Records Section shall thereafter be turned over to the Executive .Director, who shall send or route the same to Concerned Service of theCommission for appropriate action.

II. POLICY GUIDELINES

1. No employee shall take it upon himself (that is, if he is not assignedto the Records Section) to receiVe anything addressed to theCommission, as it would disrupt the normal flow of documents.

2. The Records Section sh.all maintain a recording of all documentsreceived by the Commission.

III. DEFINITION OF TERMS

,I

Contractual

Courier,Messenger,and orPostman

EDMessenger

RO II

SecurityGuard

- refers to a person who undertakes a specific workor job for a limited period not to exceed one year.The frontliner of the Records Section.

- refers to an employee of the sender dispatchingdocuments to ERC.

- refers to the Executive Director.

- refers to a permanent employee who deliversand/or collects documents, office correspondence,packages, materials and the like asrequired/directed and ensures the security of saidmaterials, packages, documents andcorrespondence before destination is reached.

- refers to the Records Officer II.

refers to Official Guard on duty assigned every .floor.

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Section: MAIL ADMINISTRATION andMESSENGERIAL SERVICES ;SYSTEM

Subject:INCOMING DOCUMENTS

Section. No. 2Revision No. 1Effectivity Date:

October 2011Subect NO.2Pa e No: 2 ofA

IV. PROCEDURE DETAILS

RESPONSIBILITY ACTION INTERFACE

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

See Note 1

RO II/Messenger/Sort/CiassifyDocuments

Contractual

See Note 2

RO II/Messenger/ Encodein DTSContractual and PrintReport

See Note 3 & 6

Messenger/ ForwardfTransmit Office of the ED/Contractual the Documents Concerned

Service

Sec Note 4-5

RO II/Messenger/File Reportof

IncomingContractual Documents

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Section: MAIL ADMINISTRATIQN~ndMESSENGERIAL SERVICES SYSTEM


Section. No. 2Revision NO.1Effectivity Date:

October 2011Sub'ect NO.2Pa e No: 30fA

,

I.1

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I

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

Note 2: a. Separate the official documents, return cards of officialdocuments and personal letters.

b. Open only the official documents and stamp "received" on theupper right portion of the documents.

c. Forward indeterminate incoming documents to ConcernedServices for proper disposition.

d. Require Concerned Services to return the indeterminatedocuments to Records Section for posting if found official.

e. Stamp "received" on the returned card for return to post office onthe following day.

Note 3: a. Place barcode sticker (white background sticker) to the upperright hand portion of official documents received for the day andensure that the sticker shall not cover the ERC "received"stamp.

b. Encode the official documents in the Incoming DocumentWindow Pane of the Document Tracking System (DTS).

c. Switch on the light source of the handheld barcode scanner bypressing the trigger button to read and register the printedbarcode in the DTS Incoming Document Window Pane.

d. Manually encode all other information required in the"Today's/New Incoming Document" menu.

e. Print Report of Incoming Documents for all the receipted officialdocuments for the day through the Reports Page of the DTS.

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

Note 5: a. ForwardlTransmit the incoming official documents received tothe Office of the Executive Director.

b. Ensure that the signature of the receiving personnel assigned inthe Office of the Executive Director is affixed in the printedReport of Incoming Documents.

c. File the printed Report of Incoming Documents in the IncomingDocument File for future reference.

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Section: MAIL ADMINISTRATION,andMESSENGERIAL SERVICES SYSTEM



October 2011Sub'ect NO.2Pa e No:4 ofA

Note 6: a. Create barcode batch using the Admin Panel Window Pane ofthe 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 SystemDivision (MISD) of the Planning and Information Service (PIS)for proper notation in the Information and CommunicationTechnology Budget of the Information Systems Strategic Plan ofthe Commission.

V. REFERENCE

Office Order No. 99-08Document Tracking System (DTS) User Manual

VI. RECORDS

Records Section's Incoming File Folder

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'RECORDS SECTION MANUAL

Section: MAIL ADMINISTRATIVE andMESSENGERIAL SERVICE SYSTEM

Subject: OUTGOING DOCUMENTS -OTHERS


October 2011Subect No.-4Pa e No: 1 of 8

I. POLICY

Records Section shall only receive and release documents providedwith the required attachment/(s), properly authorized by theapproving authority and provided with appropriate labeled mailingenvelope.


1. No employee shall take it upon himself (that is, if he is notassigned to the Records Section) to receive or release anythingaddressed to or emanating from this Commission, because thenit would disrupt the normal flow of documents.

2. Without any unnecessary delay, all outgoing documents such asLetters, Orders, Decisions, Resolutions and Statement ofAccounts shall be released within three (3) days from receipt ofdocuments. On the other hand, documents requiring urgentattention shall be sent or released within one (1) day fromreceipt. .

3. All outgoing documents transmitted to the Records Section shallbe provided with mailing envelope complete with the name andaddress of the addressee using,the prescribed ERC template.

4. Two (2) extra copies of the outgoing documents shall also beprovided to Records Section.

5. The Records Section shall maintain an appropriatelogbook/outgoing control folder, separate file folder for themailing list and file copy/(ies) of all outgoing documents.

6. Special messenger trips to collect or deliver mail' that is sourgent or important in nature and, which requires immediateaction that it cannot wait for the next regular run of themessenger shall ALWAYS be accompanied by a REQUESTFOR MESS ENGERIAL SERVICE properly authorized by theDirector of concerned Service.

7. A cut-off time of 9:00 AM shall be implemented for receipt ofdocuments for delivery by the Records Section.

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Section: MAIL ADMINISTRATIVE andMESSENGERIAL SERVICE SYSTEM



October 2011Sub'ect NO.4Pa e No: 2 of 8


Contractual

Driver

refers to a person who undertakes a specific work orjob for a limited period not to exceed one year. Thefrontliner of the Records Section.

refers to a contractual/permanent employee whodrives officers/employees of ERC to their prescribedroutes.

IIIIIIj!

I

Express Mail refers to priority mail service with high mailing costbased on the Postage Rates Schedule.

FAS refers to Financial and Administrative Services.

Handcarried Mail - refers to mail personally delivered by the messengerto the addressee.

Mailing List refers to the list of all outgoing documents formailing.

I,

I'

Messenger

Ordinary Mail

PermanentEmployee

refers to the permanent employee who delivers/collects, and ensures the security of the documents,office correspondence, packages, materials to thespecified addresses.

refers to mail with lower mailing cost based on thePostage Rates Schedule.

refers to the employee of the Commission whomeets the minimum qualification requirements of theposition to which he is being appointed.

PettyVoucher

RO II

Cash - refers to the form used in requesting for a petty cashadvance.

refers to the Record Officer II.

Registered Mail refers to the mail with return card and recorded onthe Post Office's Book of Registry.

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RECORDS SECTION>MANUAL

Section MAIL ADMINISTRATIVE andMESSENGERIAL SERVICE SYSTEM


Section> No, 2Revision No>1Effectivity, Date:

October 2011Sub'ect NoAPa e No: 3 of 8



8~

Messenger/ Receive ConcernedContractual

Documents Services

See Note 1,2 &.3

RO II/Messenger Classify/Sort ConcernedContractual Documents Services

Sec Note 4

EncodeinDTSMessenger/ andPrintReport

ContractualSee Note 5 & 9

FAS Director/Messenger/ Dispatch/Deliver Division Chief-OutgoingContractual Documents Adm.lHR

Post Office ClerkSee Note 6-7 Driver

Transmit/Forward

Messenger/the receiving

Concernedcopiesof letters/Contractual decisions/ orders Services

to Concerned,Services

See Note 8

RO II/MessengerFileReportofOutgoing

Contractual Document

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.Section: MAIL ADMINISTRATIVE ?ndMESSENGERIAL SERVICE SYSTEM

Subject: OUTGOING DOCUMENTS-OTHERS

Section. No. 2Revision NO.1EffectivityDate:

October 2011Sub'ect NO.4Pa e No:4 of 8

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

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

Note 3: Ensure that a Request for Messengerial Service is attach todocuments if to be handcarried.

Note 4: Classify the documents according to the following type of mail ordelivery:a. Registered Mail d. Handcarried Mail-b. OrdinaryMaile. LBCIDHLc. Speed Mail

Note 5: a. Place barcode sticker (red background sticker) to the upper righthand portion of official outgoing documents to be released forthe day.

b. Encode the details of outgoing documents in the OutgoingDocument Window Pane of the Document Tracking System(DTS).

c. Switch on the light source of the handheld barcode scanner bypressing the trigger button to read and register the printedbarcode 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 outgoingdocuments for the day through the Reports Page of the DTS .

.Note 6: Separate outgoing documents for mailing and handcarried mailsand 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) forregistered 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.

•RECORDS SECTION MANUAL

Section: MAIL ADMINISTRATIVE and.MESSENGERIAL SERVICE SYSTEM

Subject . OUTGOING DOCUMENTS -IIIlronE6UlAlflilYCIlIIililiOH .IlIIUPMH£I 0 TH E R S

Note 6: (Continuation)



i!I,

IiriiI

I. Mailing:f. Place control number for Registered Mails on the lower

corner of the envelope. The number series starts from 001every 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 toreplenishment of petty cash fund for stamps;

i3. Shred the copy with no received stamp and replacedwith stamp received from Ortigas post office.

II. Handcarried Mail:a. Ensure two (2) reproduced copies (receiving copy and extra

copy) are provided in addition to the original copy to betransmitted to the addressee.

b. Attach the receiving copy and place the original copy in theenvelope, then seal.

c. Ensure that the date of receipt and name of recipient isproperly 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 forshipping to Visayas and Mindanao Field Office.

b. Prepare Petty Cash Voucher (PCV) form in duplicate forcash advance re: shipping cost either through DHLlLBC.

c. All PCV relative to cash advance for mailing throughLBC/DHL Mail shall be accompanied by a Request forMessengerial Service (RMS) Form correspondinglyapproved by the Director of the requesting Service.

d. Forward the PCV to the Division Chief of Admin.lHR forapproval prior to presentation to Petty Cash Custodian forthe cash advance.

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.Section: MAIL ADMINISTRATIVE ,andMESSENGERIAL SERVICE SYSTEM

Subject OUTGOING DOCUMENTS -OTHERS

Section, No. 2Revision NO.1Effectivity Date:

October 2011Sub'ect No.4Pa e No: 6 of 8

e. Mail to LBC/DHL as soon as receipt of cash is received, Allmailing done through DHLlLBC shall always include checksrequired by respective field offices to justify mailing throughthis facility.

f. File return copy of List of Mail Enclosure with thecorresponding receipt of the respective Field Offices.

Note 7: a. Prepare Request for Vehicle to be countersigned by the FASDirector and/or Division Chief of Administrative/HumanResource should the Messenger (ERC permanent employee)require the use of the Commission's vehicle. A file copy of theRequest 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 receiptis reflected on the mailing list

c. Secure Registry Receipt from Post Office (Ortigas Post Office orStrata Post Office) for mailed documents.

d. For handcarried mail, ensures that the receiving party reflectshis signature and date of receipt on the receiving copy ofLetters, Decisions, Orders, Resolutions and Statement ofAccounts,

e. Scheduling (Fixed) of messengerial service follows:

AREAS OF DELIVERY SCHEDULEOrligas Area, Manila, Makati, Pasay, Monday, WednesdayParanaqueOrligas Area, Quezon City, Mandaluyong, Tuesday, ThursdayOther parts of PasigOrtigas Area Friday

However, frequency of messengerial service is to be dictated bythe volume of mails received within the day.

Note 8: a. File the Registry receipts, mailing list and file copy/(ies) ofdocuments mailed or handcarried to appropriate folder.

b. Check Messengerial Logbook to ensure delivery is done forhand carried mail. " .

c. Log in the appropriate Records Section's Logbook and in theCaselDocument Tracking System.

d, Return to Concerned Service their receiving copy/(ies) andensure that the Service's receiving clerk sign the RecordSection's logbook/printed Report of Outgoing Document(whichever is applicable).

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Section MAIL ADMINISTRATIVE andMESSENGERIAL SERVICE SYSTEM

Subject OUTGOING DOCUMENTS -OTHERS



Note 9: a. Create barcode batch using the Admin Panel Window Pane of theDTS 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 SystemDivision (MISD) of the Planning and Information Service (PIS)for proper notation in the Information and CommunicationTechnology Budget of the Information Systems Strategic Plan ofthe Commission.

V. REFERENCE

OGCS Memo dated July 20, 2011Office Order No. 99-08Office Order No. 32, Series of 201 0 (Items No 15 and 16)Document Tracking System (DTS) User Manual

VI. RECORDS

List of Mail EnclosureMailing ListMailing Return CardPostage StampsReceiving and Filing CopiesRegistry ReceiptRequest for Messengerial ServicesRequest for Vehicle

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RECORDS ,SECTION' MANUAL

Section: MAIL ADMINISTRATIVE,andMESSENGERIALSERVICE SYSTEM


Section, No, 2Revision No, 1Effectivity Date:

October 2011Sub'ect No, 4Pa e No: 8 of 8

,

I:II'III,

VI. RECORDS (Continuation)

Records Section Logbook/File Foldera, Messengerial Logbookb, Cases Logbook (one for PU and one for Coops)c, Correspondence Logbook (one for PU and one for Coops)d, Statement of Accounts Logbooke, Return Card Logbookf, Miscellaneous Logbookg, Logbook for ED/CEOh. Report of Outgoing Documents File Folder


Section: . "POSTAGE STAMP MANAGEMENT

Subject PETTY CASH FUND -fHflGriffiUllTWYtIlllMllllOO ,IllIU'M~[1 POSTAGE STAMP

I. POLICY

Section No. 3Revision NO.2Effectivity Date:

October 20 11

Sub'ect NO.1Pa e NO.1 of A

\

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All mailing documents shall be provided with the corresponding stampdenomination prior to the release from the Records. A Petty CashFund was specifically set-up for the purpose which should followaccounting and auditing rules and regulations in the replenishment ofsubject fund. The fund shall be maintained under the Imprest System.


1. It is to be understood that Petty Cash Fund (PCF) remains to be theproperty of the ERC and shall be surrendered or presented upondemand by the Commission and to any authorized representativeeither in the form of postage stamp denomination or approved pettycash fund. The PCF shall be reconciled daily and any apparent orreal shortage/overage shall be reported directly to theAdministrative Officer/Division Chief.

2. The administration of the fund shall be entrusted to the RecordsOfficer II (bonded) who is in-charge of the safekeeping of postagestamps and shall be responsible in case of a loss or if discrepancyoccurs.

3. Postage stamps in denominations of ~7.00, ~5.00, ~3.00, P2.00and ~1.00 shall always be kept in a safety cabinet for safekeeping.

4. All cash received shall be used solely for the purchase of stampsand should there be cases where the denomination of postagestamp purchased are not available, the cash on hand shall bereturned to Cashier for safekeeping.

5. The PCF should be replenished whenever accumulated expensesreached 75% of the total fund establish or as the need arises.

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Section: ,POSTAGE STAMP MANAGEMENT

Subject: PETTY CASH FUND -POSTAGE STAMP

Section No, 3Revision No, 2Effectivity Date:

October 2011Sub'ect No, 1Pa e No, 20f4


Accounting Clerk

Contractual

DetailedEmployee

Driver

FAS

PermanentEmployee

Postage Stamp

RO II

refers to a permanent employee who receivesincoming documents at the Finance Division,

- refers to a person who undertakes a specific work orjob for a limited period not to exceed one year. Thefrontliner of the Records Section,

- refers to an employee temporarily moved from onedepartment or agency to another which does notinvolve a reduction in rank, status or salary.

- refers to a contractual/permanent employee whodrives officers/employees of ERC to the approveddestination.

- refers to Financial and Administrative Division.

refers to an employee of the Commission who meetsthe minimum qualification requirements of the positionfor which he is being appointed.

_ refers to the stamp purchased from Post Office indenominations of 12.7,00, J2.5.00, J2.3.00, J2.2.00 andJ2.1.00.

-' refers to the Records Officer II

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Section: ' "POSTAGE STAMP MANAGEMENT

Subject: PETTY CASH FUND -POSTAGE STAMP

Section No, 3Revision No, 2Effectivity Date:

October 2011Sub'ect No, 1Pa e No, 3 of4


RESPONSIBILITY

RO ii/BondedEmployee

RO II/BondedEmployee

RO Ii

ACTION

ReplenishPettyCashFund

See Note 1

Encash!Purchase

PostageStamps

See Note 2

Dispense!Replenish

PostageStampsFund

Sec Note 3-4

INTERFACE

Accounting ClerkCashierDivision Chief -Admin, ServiceDriver

FAS DirectorDriverLandbank &Post OfficePersonnel

DetailedEmployeeContractual/Messenger

Note 1: a, Retrieve from the file, copies of mailing list with original stamp ofOrtigas Post Office and official receipt of purchased stamp forthe period,

b, Prepare Report of Postage Stamp Used in four (4) copies andPetty Cash Replenishment Report (PCRR)

c, Signs in the "CERTIFIED CORRECT BY" portion of both thePCRR and the Report of Postage Stamp Used

d. Handcarry three (3) copies of Report of Postage Stamp Usedand PCRR, complete with attachments to 'FAS-Admin fornotation of the Division Chief and to FAS-Finance forpreparation of Disbursement Voucher.

e, File the remaining copy of the Report of Postage Stamp used forreference,

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.RECORDS SECTION MANUAL

Section: . . :POSTAGE STAMP MANAGEMENT

Subject PETTY CASH FUND- .POSTAGE STAMP

Section No. 3Revision NO.2Effectivity Date:

October 2011Sub'ect NO.1Pa e NO.4 of4

Note 2: a. Receive check from Cashier for the replenishment of Petty CashFund.

b. Prepare Request for Vehicle in two (2) copies and ensures thatthe FAS Director countersigned the said request. Retain one (1)copy for file.

c. Encash check to Landbank and proceed to post office (Ortigasor 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 PostageStamp UseB.

Note 4: a. Secure purchased postage stamps in a safety cabinet. (RecordsOfficer II who is the Senior Officer of the Records Section will beresponsible for the safekeeping of postage stamps)

b. Record the daily usage of postage stamps in the logbook forPostage 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 AuditingManual (GAAM) for Cash Advances of Petty Operating Expenses.

VI. RECORDS

Mailing ListOfficial Receipt of Stamps PurchasedPetty Cash Replenishment ReportRecords Section Logbook - Outgoing and Stamp UsedReport of Postage Stamp UsedRequest for Vehicle

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\lv.TO~r RECORDS SECTION MANUAL Section No. 4~6 C"o Revision No. 00•• ••

~JERC) Section: Effectivity Date:~ •. FILE MANAGEMENT.~.

Subject: Subiect NO.1GENERAL POLICY Paae No: 1 of 1

POLICY STATEMENT

Files of all closed cases and the original or signed copies of all othercorrespondence, letters, etc. pertaining to matters acted upon and disposed ofby the Commission and at present in the custody of any Service shall betransferred, together with their enclosure or annexes, if any, to the RecordsSection for safekeeping.

\

J

~v.TO,..,. RECORDS SECTION MANUAL Section No. 4~~ Co Revision No. 00fERCl Section: Effectivity Date:~ i FILE MANAGEMENT"'-"'" Subject: Subiect NO.2

FILES OPERATION Paae No: 1 of 4

I. POLICY

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


1. Storage/Mini Archives of records shall be maintained by theRecords 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 ofany office or Service, shall be transferred, together with theirenclosures or annexes, if any, to the Records Section for recordingand safekeeping.

3. Files of non-current records being transferred to Records Sectionfor safekeeping shall be properly file in a folderlbinder, arrangedaccordingly, boxed and properly labeled.

4. Each transmittal for safekeeping of documents shall beaccompanied by a memo addressed to the FAS-Director andcorrespondingly 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 areceipt upon issuance to him of the file or record requested. Norecord or file whatsoever shall be taken out of the Records withoutthe requisitioner signing a receipt therefore.

6. Retention of general records for safekeeping shall follow theGeneral Records Disposition Schedule Series 2003 as per RMAO'sGeneral Circular NO.1


(

Contractual - is a person who undertakes a specific work or jobfor a limited period not to exceed one year.

~v.TO.qr RECORDS SECTION MANUAL Section No. 4~6 C'o Revision No. 00.• ~

~lERCJ Section: Effectivity Date:~ •. FILE MANAGEMENT.~.

Subject: Subiect No.2FILES OPERATION Paae No: 2 of 4

III. Definitionof Terms(Cont'd)

DetailedEmployee

DispositionSchedule

GeneralRecords

Messenger

PermanentRecords

- is an employee temporarily moved from onedepartment or agency to another which does notinvolve a reduction in rank, status or salary.

- a written description of records of any agencyshowing action to be taken at stated intervals withrespect to the disposition of records.

records that are used in carrying on governmentfunction in connection with which they have beenaccumulated; dealing with matters ofcontemporary importance, such needed for actionor for reference in continuing agency transaction,and subject to immediately relevant addition orother modification. (Ref. RMAO Gen. Circular No.1)

- a permanent employee who delivers and/orcollects documents, office correspondence,packages, materials and the like asrequired/directed and ensures the security of saiddocuments before destination is reached.

- files that deal with completed or adjournedbusiness, not needed for action or reference incontinuing agency transactions but are ofcontinuing research or historical value to thegovernment and public such as:

1. Administrative Cases2. Annual Reports - Stakeholders in

the Electric Industry3. BOE Resolution4. Cebu/Davao Documents

5. Closed ERC Cases6. Commissions General Memo to

ERC Employees/Office Orders7. Complaints File8. Qecisions

9. EC's General File

10. ERB Resolution11. ERC Employees Inactive

Personnel Records12. House Bills13. Issuances, Executive Orders,

Guidelines, Republic Act14. Logbook15. Mailing List

16. OIC Resolution17. Outgoing correspondences to

Stakeholders in the Elec. Industry18. Supreme Court Decision

~\,.JI.TO.qr RECORDS SECTION MANUAL Section No. 4~G C'o Revision No. 00.• "~lERC) Section: Effectivity Date:~ •. FILE MANAGEMENT.~.

Subject: Subiect NO.2FILES OPERATION Paae No: 3 of 4

III. Definition of Terms (Cont'd)

PermanentEmployee

RO"

RetentionPeriod

is an employee of the Commission who meets theminimum qualification requirements of the positionto which he is being appointed.

Records Officer"

- specific period of time established and approvedby competent authority after which a given set offiles is deemed ready for permanent storagedestruction.


RESPONSIBILITY

RO II/MessengerContractual!Detailed Employee

RO"

RO"

ACTION

Receive /Retrieve

Documents

See Note 1,2

Record/IndexDocuments

See Note 3

File / Archive /Loan

Documents

INTERFACE

ERC Employee!Officials

Messenger!Detailed Employee!Contractual

Messenger!Detailed Employee!ContractualERC Employees!Officials

llV'-T0I1')- RECORDS SECTION MANUAL Section No. 4f<,G COo Revision No. 00>-.l1i \.

~IERC; Section: Effectivity Date:~ ~ FILE MANAGEMENT.~.

Subject: Subject No.2FILES OPERATION Page No: 4 of 4

Note 1: Ensure that receipt of non-current records with their enclosures orannexes from Concerned Services/Officers/Employees for archivalis accompanied by a duly approved transmittal memorandumaddressed to the Director of Finance and Administrative Service.

Note 2: Request for loan or permanent withdrawal of documents underRecord Section's safekeeping, by the Officer/ Employees andConcerned Services of the Commission, shall be properlydocumented through the Record for Borrowed Items Form and login the index card provided for each record in the Records Section.

Note 3: Ensure that for each record, an index card is provided with thefollowing 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. 99-08DECS Order No.13-A and 13-B, series of 1988RMAO General Circular No.1

VI. RECORDS

General RecordsIndex Cards:• Stakeholders in the Electric Industry• Miscellaneous - Letters

Permanent Records as specified in the definition of termsRecord for Borrowed Items FormTransmittal Memorandum

~v.TOIi'J- RECORDS SECTION MANUAL Section No. 4~Oi COo Revision No. 00.• ~

~IERC) Section: Effectivity Date:~ •. FILE MANAGEMENT.~.

Subject: Subject NO.3PRESERVATION OF RECORDS Page No: 1 of 3

I. POLICY

The Records Section shall be responsible for the preservation of thepermanent records because of the value attached to them. Consistentwith public interest, their preservation requires special treatment toprevent their loss, destruction, mutilation, and the like, and to maintainoriginality and reliability.


1. It shall be the responsibility of the Records Section headed by theRecords Officer to protect non-current records in its custody andundertake corrective measures to rehabilitate weakened or brittleddocuments in accordance with modem techniques.

2. It shall be the responsibility of the Records Offices to inspect thefiles and recommend the transfer to the Records Management andArchives Office (RMAO) in accordance with the duly approvedRecords Disposition Schedule.


Contractual

DetailedEmployee

PermanentRecords

PermanentEmployee

RO II

is a person who undertakes a specific work or jobfor a limited period not to exceed one year. Thefrontliner of the Records Section.

- is an employee temporarily moved from onedepartment or agency to another which does notinvolve a reduction in rank, status or salary.

- files that deal with completed or adjournedbusiness, not needed for action or reference incontinuing agency transactions but are ofcontinuing research or historical value to thegovernment and public.

is an employee of the Commission who meets theminimum qualification requirements of the positionto which he is being appointed.

Records Officer II

~v.TOlir RECORDS SECTION MANUAL Section No. 4r<,G "0 Revision No. 00.• '""~ERCJ Section: Effectivity Date:~ •. FILE MANAGEMENT.~.

Subject: Subiect No.3PRESERVATION OF RECORDS Pane No: 2 of 3



RO II/MessengerlConductYearly

Concerned ServiceInventory ofContractual Records

See Note 1

AppraiseRO II Records Detailed Employeel

Contractu allMessenger

See Note 2

RO II Applicationof Detailed EmployeeApplicableMitigating Contractual/Measures Messenger

Note 1: This section of file management usually correspond with the yearlydisposal activities of the Records Section. However, this does notpreclude theRO II in making a quarterly inspection of records onfile.

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

b. Segregate records for disposal.c. Review/Determine if there is a need to transfer records to

RMAO.

~~TO~r RECORDS SECTION MANUAL Section No. 4~(:I "0 Revision No. 00•• •••

~JERCJ Section: Effectivity Date:~ •. FILE MANAGEMENT.~.

Subject: Subiect No.3PRESERVATION OF RECORDS Page No: 3 of 3

Note 3: Apply appropriate security and preservation techniques as deemedproper:

1. Microfilming2. Control of keys to the stack areas3. Application of RESTRICTED AREAS policy4. Designation of NO SMOKING AREAS5. Separation of duly authenticated copies from the original6. Constant security survey7. Surveillance of records personnel8. Maintain security emergency plan9. Apply regular fumigation10. Install airconditioning units11. Whenever necessary, adopt body and baggage searches to all

personnel entering and going out of the records storage areasfor security reasons

V. REFERENCE

Handouts Seminar Workshop on Records & Archives ManagementSection 633 of the Revised Administrative CodeArticle 171 of the Revised Penal CodeArticle 227 of the Revised Penal CodeArticle 228 of the Revised Penal CodeArticle 229 of the Revised Penal Code

VI. RECORDS

Index CardsNon-Current Permanent RecordsYear-end inventory of files

uV.TOlir RECORDS SECTION MANUAL Section No. 5«,6 COo Revision No. 00•• '<-~IERCJ Section: RECORDS DISPOSITION Effectivity Date:~ " ADMINISTRATION.~.

Subject: Subiect No.1GENERAL POLICY Page No: 1 of 1

Policy Statement

Disposal of all valuelesslnon-value records of the Commission shall only bemade through the Records Section.

RECORDS SECTION MANUALSection NO.5

G~v.TOtt)rc Revision No. 1II:~ ~ Section: RECORDS DISPOSITION Effectivity Date:hERC} ADMINISTRATION~ .., Subject: . Subiect No. 2.~.

DISPOSAL Paae No. 1 of 4

I. POLICY

The Commission shall undergo an annual systematic removal ofrecords that are not needed in everyday operation, identified to be notrequired for preservation and deemed ready for permanent destruction.

II. POLICYGUIDELINES

1. The Commission shall observe the General Records DispositionSchedule (RMAO Gen. Circular NO.1) in determining the disposalof their valueless records.

2. No records shall be destroyed or sold without having first securedauthority from the Director of the Records Management andArchives Office (RMAO).

3. Public bidding shall be conducted if RMAO recommendation todispose records is through sale. Bidding shall be conductedtowards the end of the calendar year so that the effectivity of thecontract of the winning bidder shall be in January of the followingyear.

4. Payments received from the sale of the Commissions records shallbe forwarded to the Cashier for the issuance of an official receipt.

5. To safeguard the sanctity of the records and to check that therecords to be disposed are of the same records which wereappraised 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.tiVElfl"9l11<::0rnJTlission onAudit {CQ1l\). lntelllal Audit t1"it alld RMAO.


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 withthe provision of these guidelines.

RECORDS SECTION MANUALSection No.5

. ~\Jl.TOlty Revision No. 1~'" c~ Section: RECORDS DISPOSITION Effectivity Date:

lERC) ADMINISTRATION

.~. Subject Subiect No. 2DISPOSAL Paoe No. 2 of 4

III. DEFINITION OF TERMS (Cont'd)

DispositionSchedule

Records.Disposition

RMAO

RO II

ValuelessRecordslNoValue Records

_ a written description of records of any agencyshowing action to be taken at stated intervals with.respect to the disposition or records prescribed byRMAO under Gen. Circular NO.1.

_ systematic removal from office to storage ofrecords that are not needed in everyday operation,identification and preservation of permanentlyvaluable records and the destruction of valuelessrecords.

_ Records Management and Archives Office

- Records Officer II

_ include all record materials that have reached theirprescribed retention periods and usefulness to theagency or the government as a whole.


RESPONSIBILITY

RO II

ACTION

CS;V~

ConductInventory of

See Note 1

AppraiseRecords

See Note 2

DisposeValuelessRecords

See Notc3 &4

INTERFACE

Concerned

RMAO

COA, IAUCashier

&

•••

RECORDS SECTION MANUALsection No. 5

~""'TOR,. Revision No. 1~G <'0•.'" '\ Section: RECORDS DISPOSITION Effectivity Date:~ERC.; ADMINISTRATION~ ~ Subject: Sl:lbiect No. 2.~.

DISPOSAL Paae No. 3 of 4

Note 1: a. Prepare and transmit to all ServiceslField Offices amemorandum signed by the FAS Director regarding submissionof list of the respective Service's corresponding valuelessrecords for disposal (to be done annually on the 1st week ofNovember)

b. Check, systematize and list all records under the custody of theRecords Section

c. Receive valueless records from different Services not later thanthe 15th of December. The Record section shall be responsiblefor the safekeeping of the valueless records until its disposal isconducted.

Note 2: a. Prepare an updated inventory of all record holdings in theprescribed form (RMAO Form 1)

b. Checkllnspect storage files and examine preceding period'sdisposal report

c. Review/determine if there is a need to transfer records to RMAOd. Review and make request for additional filing equipment (if

required).

Note 3: a. Prepare Request for Authority to Dispose of Records (RMAOForm NO.3) in five (5) copies.

b. Forward RMAO Form NO.3 to AO IV and FAS Director for theirnotation 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 formaliltemUi aildom signed by FAS Director to witness saiE! E!isposalas soon as manner of disposal was determined and bidding wascompleted (if applicable)

b. Prepare four (4) copies of Certificate of Disposal in theprescribed form (RMAO Form 6). Indicate the nature of therecords for disposal, the manner, place and date of disposal andtheir approximate volume in cubic meters and weight as soon asE1isp9sal=is--OORsummat.~ed(;lo====================

c. File the original copy of Certificate and furnish the remainingthree (3) copies to RMAO, COA and Internal Audit Unit .

RECORDS SECTION MANUALSection NO.5'

~\),-"TOIl••c Revision NO.1,f 0 Section: RECORDS DISPOSITION Effectivity Date:~ERCl . ADMINISTRATION~ ~ Subject: Subiect No. 2.~.

DISPOSAL 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 onthe sackslboxes of documents for disposal.

c. Prepare ERC Gate Pass and Building Gate Passd. 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 recordse. Total all recorded weightsf. Prepare assessment form in three (3) copiesg. Transmit duly signed copies of Assessment Form (2 copies) to

Cashier for issuance of Official Receipth. File the remaining copy of Assessment Form

V. REFERENCE

DECS Order No. 13-A dated February 3,1988Handouts Seminar Workshop on Records and ArchivesManagement (Basic)

-

VI. RECORDS

Assessment FormListingllnventory of RecordsOfficial Receipts re: sale or disposal of valueless recordsReport on Disposal of Valueless RecordsRMAe-Foli Ii 1 RMAG-ReoordS=fnveRto!¥'8Rd.Appra""isa.••ll=======-RMAO Form 2 - RMAO Records Disposition ScheduleRMAO Form 3 - RMAO's Request for Authority to Dispose of

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

. .

MEMORANDUM ENERGY REGULATORYCOMMISSION

21 August 2008

THRU:

FROM:

RE

CHAIRMANr~ OFFICE----

Chairperson and CEO . RECEIVED

FRANCIS SATURNINO C. JUAN *~y~:~:r.j -::;~~~~ \

INTERNAL AUDIT UNIT L. -..~5~~.:.:::."=::::.::-.::::-==-==-

DISPOSAL PROCEDURE. REVISED

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

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

For your approval and signature.

cc: Commissioner Alejandro Z. SarinCommissioner Rauf A. TanCommissioner Jose C. ReyesCommissioner Maria Teresa A.R. Castaneda

attach:

f

\),-"TO~r RECORDS SECTION MANUAL Section No. 6f<,~ <'0 Revision No. 00.• ~

~JERCJ Section Effectivity Date:~ •. MISCELLANEOUS.~.

Subject: INDEXING OF OFFICE Subiect NO.1AND TRAVEL ORDERS Pace No: 1 of 3

I. POLICY

To regulate clerical operation, all Office and Travel Orders shall beindex by the Records Section following the prescribed alpha/numericsequence designated for the subject documents.


1. No Travel Order shall be received by the Records Section unless atravel classification is indicated as follows:

a. F - for Foreign Travelb. L - for Local Travelc. M - for Meter related transaction travel

2. The ReCOrds Section shall index the prescribed alpha/numericcontrol number which starts from 01 for Office Order and 001 forTravel Order, which will be issued sequentially.

3. Records Section shall receive and distribute Office Order andTravel 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.


ED - Executive Director

RO II - Records Officer II

Contractual - is a person who undertakes a specific work or jobfor a limited period not to exceed one year. Thefrontliner of the Records Section.

Office Order - shall refer to internal rules and regulations of theEnergy Regulatory Commission.

Travel Order - shall refer to official local and foreign travel of ERCofficials and employees, and travel assignments ofPersonnel from Meter Division.

. - - --~~

uv.TOli'r RECORDS SECTION MANUAL Section No. 6~(:) COo Revision No. 00.• ~

~IERC) Section Effectivity Date:~ '" MISCELLANEOUS.~.

Subject: INDEXING OF OFFICE Subiect No.1AND TRAVEL ORDERS Paae No: 2 of 3

III. DEFINITION OF TERMS (Cont'd)

Chairman/CEO - Chief Executive Officer of the Commission


RESPONSIBIUTY

RO II/Messenger/Contractual

RO IIlMessenger/Contractual

Messenger/Contractual

ACTION

ReceiveDocuments

See Note 1

AssignApplicable

number

TransmitIForwardthe Documents

See Note 3 & 4

INTERFACE

Office of theChairman & CEOOffice of theExecutive Director

ConcernedServicesERC Employees

Note 1: a. Receive Office Order and/or Travel Order from the Office of theChairman/CEO or Office of the Executive Director.

b. Ensure that documenV(s) is/are properly signed or authorized bythe approving authority.

\lV-TOlly RECORDS SECTION MANUAL Section No. 6~Q C'o Revision No. 00.• ~

~JERCJ Section Effectivity Date:~ .. MISCELLANEOUS.~.

Subject: INDEXING OF OFFICE Subiect NO.1AND 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 Meterb2. Office Order

Note 3: Reproduce documents according to the corresponding number ofcopies required. Retain one (1) copy as receiving copies.

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

b. For Travel Order. ensure that FAS Accounting Division andHuman 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 FolderTravel Order File Folder

~\Jl.TO~r RECORDSSECTIONMANUAL Section No. 6~(J "'0 Revision No. 00.• '"'~ERC~Section Effectivity Date:~ ~ MISCELLANEOUS.~.

Subject: CERTIFICATION OF Subiect NO.2NON-CURRENT RECORDS Paae No: 1 of 3

I. POLICY

Certification or issuance of certified true copies of all non-currentrecords other than closed and terminated cases, shall only be done bythe Records Section.

II. POLICYGUIDELINES

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

2. No documents shall be certified without securing or retrieval of theoriginal file copy at the Records Section.

3. No request for certified true copy shall be served without theapproval of the Division Chief of the Administrative Division.

III. DEFINITIONOF TERMS

Contractual

DC-Admin.

Non-Gurrentbusiness,Records

RO"

RequestingParty

- is a person who undertakes a specific. work or jobfor a limited period not to exceed one year.He/she also acts as the frontliner of the RecordsSection.

- Division Chief of the Administrative Division

- files that deal with completed or adjourned

not needed for action or reference in continuingagency transactions but are of continuing researchor historical value to the government and public.

- Records Officer II

- an entity, person, employee of the Commissionrequesting for a certification of documents.

\lv.TO~r RECORDS SECTION MANUAL Section No. 6~G C'o Revision No. 00'" .•.~ERCJ Section. Effectivity Date:;;, .•. MISCELLANEOUS•~t~. Subject: . CERTIFICATION OF Subject No.2

NON-CURRENT RECORDS Page No: 2 of 3



C7RO II Request Requesting Party

for Certification DC-Admin/Cashier

See Note 1

Certify theROil 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 recordsother than the ERC closed case, shall be done through the useof the Request for the Certification Form and should be dulyapprove/authorize by. the Division Chief of AdministrativeDivision.

b. Request for certification of ERC ongoing cases shall be coursethrough the Docket Section.

c. The requesting party/(ies) shall at their own expense reproducethe documents for certification. If the reproduction is to be doneby the Commission, it shall be accompanied by a Request forDuplicating Service duly approved by the Division Chief of theAdministrative Division.

\lV-TO~r RECORDS SECTION MANUAL Section No. 6rv~ (>0 Revision No. 00•• '& .

~ERC) Section Effectivity Date:~ " MISCELLANEOUS

.""'...""..e>. Subject: CERTIFICATION OF Subiect NO.2NON-CURRENT RECORDS Paae No: 3 of 3

Note 1: (Cont'd)

d. A corresponding fee (Memo dated 10/25/04) for reproductionshall be paid to the Cashier prior to serving request for acertified true copy.

Note 2: a. Ensure that the documents handcarried by the requesting partycorrespond 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 FormRequest for Duplicating Service

t )

(

\\v.TO~r RECORDS SECTION MANUAL Section No. 7~l:J C'o Revision No. 00.• ~

~ERCJ Section Effectivity Date:~ •. FORMS USED.,~.

Subject: Subiect No.Page No: 1 of 1

PARTICULARS

1. List of Mail Enclosure2. Mailing List3. Petty Cash Replenishment Report4. Petty Cash Voucher Form5. Record for Borrowed Items6. Request for Certification Form7. Request for Duplicating Service8. Request for Vehicle9. Request for Messengerial Service10. Report of Postage Stamp Used11. RMAO Form No.1 - Records Inventory and Appraisal12. RMAO Form No.2 - Records Disposition Schedule13. RMAO Form No.3 - Request for Authority to Dispose of Records14. RMAO Form No.6 - Certificate of Disposal of Records

Republic of the PhilippinesENERGYREGULATORYCOMMISSION

T'IPi! of correspondeno~ .;~control no. ::;_.-

..... - - - -., .•~..•........•.. 1!'.rial. sizeB, regular.;~._;_. Reference No.: 2~05-A1.j or eOO1

i ••••••••••••••.•.•••.•••.•••••••.•••.•••.•.•• : •.••••.•••.••••••.•.•••••.• ;

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) spaceFROM: RECORDSSECTION- ERCCENTRAL 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 COMMISSIONPacific Clr. Bldg. San Miguel Ave .. Pa~ Cil);:

No. I Reg. No. I Addresse"

MAILED AT THE STRATA POST OFFICE

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PEtrY CASH REPLENISHMENT REPORT, ,Agency

Period Covered: ' ! " , 'i. \ ,j-:i. ",. :.1 ~", ". , . '. Report No.:.

Sheet No.:

Date Petty CashParticulars

..I 'Amount

. 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

;;.,!j.,

, ' ' .:.l.~ \, ,,' ...:,' r ",

PETTY CASH VOUCHER No,:

Date:, Anancv

Payee/Office :, Responsibility Center Code:

"

Address,

II. To be til/ad up upon liquIdatIonI. To be filled up upon request

Particulars Amount

Total Amount Granted

,'Total Amount Paid per '"

OR No," .';\

, Amount Refunded! ' ,, . "~F

(Reimbursed)

:, ..-,

, i

,',; .;'i:i;; :., '

liU, " . ,,"

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~Requested by: . .-::JD Received Refund

,

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Name of fequestor . 0 Reimbursement pard, ,i "..- " ~, I J, i, , ' : .' ,li,;"..1!,

Approved by: "'I;1'.

;::" ", .".",

, ' '" ",'

lmmed~ate Supervisor Petlv Cash Custodian

JU Paid by:~ 0 uquidation Submitted: :r,' .,

Petty Cash Custodian. o Reimbursement Received by:,", ',<

Cash Received by: ,, ;", ..

,; iSignatureldver Printed Name of Payee Signature of Payee ;.."

,,' Date: Date: , ,AD 6115/02

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Republic of the PhilippinesENERGY REGULATORYCOMMISSION

San Miguel Avenue, Paslg City

REQUEST FOR CERTIFICATION

DATE:-----

SUBJECT MADER:

Requested oy:

(Signature Over Printed Name)

Approved by:

ATTY. CRiSOLDO B. FORTUNAAdministrative Officer V

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-.'/~~.- __ .RepuqliCofthePhillppineS

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

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

REQUEST FOR: -.'.--. ..•. -_ . '_'SUaJECTMAn-ERI- .._-D-A-t-;A:.-'-_----------------'--,~~~-~~~------

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--Paper Sjze~ -

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Cost per 90PY _' No. copiesWlthout ERC copy Pllper . -

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AmOunt .' .~," '.,

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---'-'Total Amount

RElq~eSled by: --- -":,-:--

- (SignalureOver Printed Name)

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Approved by:-"Ri SOLOOB.FORTUNA

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:

Authorized Officer

Requested by:

UserlBranchlDivision Head

":.Republic of the Philippines

ENERGY REGULATORY COMMISSION° San Migud Avenue, Pasig City

REQUEST FOR VEHICLE

The undersigned requests for a vehicle to be used on:

. ,~..

° Date

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

PLACE

PASSENGERIS

Approved by:

Authorized Officer

Requested by;

UserlBranchIDivision Head

Republic of the PhilippinesENERGY REGULATORY COMMISSION


To: MS. EDITH S. ANGELESRecords Officer IIRecords Section

REQUEST FOR MESSENGERIAL SERVICE

Date

ADDRESSEE

ADDRESS

/ / Delivery

Time:

/ / Pick-up

PARTICULARS

Requested by:

- - - - - - - - - - - - - - - - - - - - - - - _.- - - - - - - - - - - - - - - - - -Received by

Date

Time

Republic of the PhilippinesENERGY REGULATORY COMMISSION


RMS No. ------To: Ms. EDITH S. ANGELES

Records Officer IIRecords Section

REQUEST FOR MESSENGERIAL SERVICES

Date: _

I I Delivery- Courier/Handcarry

ADDRESSEEADDRESS

PARTICULARS

Requested by:

Time: _

I I Pick-up

Approved by:

-----------------------------------------------------------------E8"=~~o•.••• !tQ'I>'F""'.' ••.••'r..•••.•"'-'•..•.._",•..•••"

RMS No. _

To: Ms.EDITH S. ANGELESRecords Officer IIRecords Section

REQUEST FOR MESSENGERIAL SERVICES

(

~\ .••.- :>

Date: _

I I Delivery- Courier/Handcarry

ADDRESSEEADDRESS

PARTICULARS

Requested by:

Received by : _DateTime

Time:, _

I I Pick-up

Approved by:

REPORT OF POSTAGE STAMPS USED

PARTICULARS AMOUNT I.1-

Balance as of _

Add: Purchases (Postage Stamps)

Total Petty Cash Fund

Less: Postage Stamps used per mailing list forthe period to _

Balance as of _

P

P

p==================

CERTIFIED CORRECT BY:

NAMERECORDS OFFICER II

NOTED BY:

NAMEADMINISTRATIVE OFFICER V

<.MAOFormNo. 1~evised1998

Accomplishin 4 copies

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.

11.Type of Equipment _

10. Location.

12. Filing System 13. Frequency of Reference

o Others (Specify)

o As the need arises. .

o Daily

o Once a Month

'.. "

D Otherso Archival

D Legalo Fiscal

o Alphabetical

."0 Chronological'

o Numerical,

o Functional Subject

Alphabetic

o Others (Specify)

UtilityValue

o Administrative

Time Value

..0 Permanent

o Temporary

..

o OpenShelf

'] OL'lers (Specify)

D. 4- drawer filing cabinet..0 Storage 'c'

H. Value/ Nature

15. Recommended Retention Period_____________ years in office file __ .__.. Years in Storage

16. Prepared by: 17. Assisted by:

Position:

Records Management Analyst

18. Approved by:

, .,

Date

1"'. "emarks:

Chief

':f.:: ~:

.•. ~-'

RMAOH.-NO.2Revised 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 jRemarka. Active b. Storage c. Total .

.

~'Il

.

.

~. " 'J

-.', ,<.,.

I

. ,

Important:•

No Agency shall destroy or sell any records witho,ut having first secured authority from the Director Df RecordsManagement and Archives Office. (Article III, Rule 4, 1, Department Order No. I3-A, s. 1988

---------------------------------------------------_ ..----------_._--_.~-_._._--_.--------------------

Subject: REQUEST FOR AUTHORITY TO DISPOSE OF RECORDS

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

Date

Period covered -

,

Position:

,

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

Agency

Accomplished in 4 copies

Address

Records Series Title & Descri tion

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

Please authorize the disposal of records listed below.

Item No.

Prepared by: (Name & Signature)

RMAOForm NO.3Revised 1998

Sir

The Director _Records Management and Archives OfficeT. M. Kalaw Street.1000 Errnita, Manila

. -, 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,

~.1r

'" Agency Head

[ i Position";

J*(,

RMAO Form NO.6Revised 1997

Accomplish in 4 copies

CERTIFICATE OF DISPOSAL OF RECORDS

L,....,

I,II

-;, "1

r-r••*,I

•

1. Agency

4. HemNo.

2. Address

5. Records Series Title and Oeser! tiOT! .

. ,

.3. Location of Records

6. Period Covered

\

'.-'

7. Total Volume In Cubic Meters

-9.Certification

8. Total Weight in kilos

•tilI

.TO WHOM IT MAY CONCERN:

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

10. RMAO .

11.COA . .

12. Agency

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

•

• Republic of the PhilippinesENERGYREGULATORYCOMMISSION

RECORDS filE; , _ \

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

MEMORANDUM

INTERNAL AUDIT UNIT

RECORDS SECTION PROCEDURES MANUAL

FROM:

RE

THRU:

25 April 2007

FOR: Any. RODOLFO B. ALBANO, JR. f?#CHAIRMAN/CEO . /~t-FRANCIS SATURNINO C. JUAN ~

•

In compliance with the Minutes of the Commission Meeting No. 268 dated December13, 2006, wherein the Commission deems it proper that all Procedure Manual shallrequire the approval of the Ghief Executive Officer, we are forwarding the RecordsSection Procedures Manual for your approval prior to distribution to copyholders.

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

For your approval.

-(;.o 'I1U>.In.fJ~

Tpesifa fl.: Cabriule

,

iII-n

","" .I

MEMORANDUM

04 May 2007

FOR :

THRU:FROM:

Republic of the PhilippinesENERGYREGULATORYCOMMISSION

. ALL MANUAL COPYHOLDERS

FRANCIS SATURNINO C. JUAN

INTERNAL AUDIT UNIT

•",

, _ , , Rf.r':ORDS-FILE: Reference No.2007 -M-I& lL __ J

RE RECORDS SECTION MANUAL

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

In order to intensify the implementation of this Manual, we are requesting that yourService makes full use of this handbOok and that the same be made available to allthe 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:

THRU:FROM:

RE

ALL MANUAL COPYHOLDERS*

FRANCIS SATURNINO C. JUAN ~

INTERNAL AUDIT UNIT

UPDATES ON RECORDS SECTION PROCEDURE MANUAL

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

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

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

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

'Office of the Chairman and CEOOffice of the Commissioners.Offiee of the. Exee!;jtive8iFCetoFOffice of the General Counsel and SecretariatOffice of the Consumer Affairs ServiceOffice of the Financial and Administrative ServiceOffice of the Legal ServiceOffice of the Market Operations ServiceOffice of the Planning and Information ServiceOffiGe4-Jhe--R"lglJJatpry Ope<aJ;ien-d'eFviseMindanao Field OfficeVisayas Field OfficeRecords Section

attachs:

SEP 232008

EB(G•••••••••••H."' .•••.••.•, ••••••"." .•..•••"', •.",..,,

MEMORANDUM

13 February 2012

: , " :

Reference No. 2012-A4-I004: :

FOR:

THRU:

FROM:

ALL MANUAL COPYHOLDERS.

FRANCIS SATURNINO C. JUAN

INTERNAL AUDIT UNIT

1

I

RE UPDATES ON RECORDS SECTION PROCEDURES MANUAL

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

1. Section 2 (Mail Administration and Messengerial Services System) -incorporating the Document Tracking System (DTS) with its barcodingsystem, the latest cut-off time for delivery of documents relative to theExecutive Director memo dated 20 July 2011 and the current approvingauthority relative to ERC Office order No. 32, series of 2010; and

2. Section' 3 (Postage Stamp Management) - the updating of the denominationof postage stamp currently on hand and the designation of the AdministrativeOfficer 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 CEOOffice of the CommissionersOffice of the Executive DirectorOffice of the General Counsel and Secretariat .Office of the Consumer Affairs ServiceOffice of the Financial and Administrative ServiceOffice of the Legal ServiceOffice of the Market Operations ServiceOffice of the Planning and Information ServiceOffice of the Regulatory Operations Ser,;,iceMindanao Field Office

. Visayas Field OfficeR/icords Section

=ChS: