DISPOSAL OF RECORDS Definition Records disposal is the process of determining the final fate of records. Types of Disposal Methods 1. Destruction > Shredding > Burning > Incineration 2. Temporary retention 3. Permanent retention as archives. When Should Records Disposal be Undertaken? * As soon as the records are no longer required for administrative purposes. * It is good practice to conduct regular e.g. annual disposal rather than to allow records to accumulate over many years. Normal Administrative Practice The first step in evaluating records for disposal purposes is to determine if the records can be classified as normal'administrative practice. These are records, copies, drafts and publications that contain no information of continuing value to the organization. Such records fall into six main groups: 1. Transitory or short term items e.g. notes, phone messages or office notices. 2. Rough working papers and calculations created in preparation of official records. 3. Drafts not intended for further use or reference, excluding official version drafts of agreements, submissions, etc 4. Duplicate copies of material retained for reference purposes only. 5. Published material which does not form an integral part of office records.6. System printouts used to verify or monitor data queries that are not part of regular report procedures and are not required for ongoing use. Sentencing Records (Short term and Permanent) Those records that have continuing value and those which are considered to be of temporary value and can be destroyed when administrative use ceases have to be identified. Allocate these — time of retention to each class of record, from short term to permanent. This ensures consistent, lawful and timely disposal of records. Records retained are kept to a minimum by periodically discarding those deemed temporary. Records are retained in administrative, legal, financial and archival requirements. Preparing a Record Disposal Schedule Use the following steps: 1. Identify the Records: specifically their location and content; e.g correspondence files, employee records, financial records, supplier and creditor records. 2. Determine that all action has been completed on the records and the records are no longer required or are considered to be inactive, 3. Examine the Records: This may involve reading or scanning the contents of a file or a sample of forms to determine what the record file is all about. Remember the file title may not always be an accurate reflection of a file’s contents as it may have changed over time or may contain papers on a variety of unrelated subjects. 4, Determine the retention period applicable to the particular record or groups of records, 5. Determine the disposal method and action for that record. For example, if the record is to be destroyed five years after last action, then find the date of the latest item on file and add five years to it, by so doing you will know and indicate appropriately the due date for destruction. 6. Write the disposal date on the outside core of files and folders. Also indicate, for example, RP for ‘Retain Permanently’, D2009 for ‘Destroy End of 2009’ 7. Separate records into boxes according to the corresponding disposal date, ready for late action.8. Create an itemized list of all records for proposed destruction. This list should be forwarded to the management for approval. A copy of the list should be kept for your records. Destruction of Records When the disposal date for records reaches, appropriate arrangements for their destruction must be made. Records containing any personal details about individuals, information given in confidence or considered commercial, legal or financial in confidence should be shredded or placed in confidential waste bins. Routine records can be destroyed using: Shredding Burning Re-cycling Waste disposal Note that records sentenced for destruction may be destroyed in accordance with regulations or organization's guidelines. Back-up copies stored on alternative media (e.g. server, microfilm paper) should also be destroyed. This is vital to ensure data and information protection. Records for permanent archives should be stored with the department that created them (unless they are already being sent to the Archivist). Objectives of Retention of Records * There are some records that are worthy preserving permanently as part of archives. + Retention prevents the premature destruction of records that need to be fetained for a specified period to satisfy legal, financial and other requirements of public administration. + Provision of consistency for the destruction of those records not required permanently after specified periods. * Promotion of improved records management practices in public organizations.Remember that if the records are sensitive, contentious or controversial, it would be prudent to seen an Archivist's advice with a view to archiving the records. Records no longer needed for administrative use may still be sensitive. The Archivist should be informed of the sensitivity when the records are no longer in administrative use and are archived. An appropriate closure period then needs to be agreed. Possibility of Litigation Whenever litigation is possible, the records and information that are likely to be affected should not be amended or disposed of until the threat of litigation has been removed. Register of Disposed or Destroyed Records When records identified for disposal are destroyed, a register of such records needs to be kept. It is not enough to document that a quantity of records was destroyed on a certain date. Enough details should be retained to identify which records have been destroyed Records That Need Not Be Kept Some records do not need to be kept at all. In such cases, staff may routinely destroy them in the normal cause of business This may be information that is duplicated, unimportant or only of short-term facilitative value. Unimportant records of information include: + ‘With Compliments" slips. ‘* Catalogues and trade journals. «Telephone message slips. + Refusal of invitations. * Trivial electronic mail messages or notes that are not related to the organization's business. + Requests for stock information such as maps, plans or advertising material. * Out-of-date distribution lists. * Working papers that lead to a final report. Duplicated and superseded material such as stationery, manuals, drafts, forms, address books and reference copies of annual reports may also be destroyed as. above.5 The same applies to electronic copies of documents where a hard copy has been printed and filed, and paper facsimiles after making and filing a photocopy. Records or information that can be used as evidence - to prove that something happened should not be destroyed. If you are in doubt about what information is required, consult your legal section Government Policy, Regulation and Circulars in Respect of Records Disposal The Records Disposal Act The Chief Secretary's Circular No. OP/1/48A/66 of 28" November, 1985. The District Focus Circular No. 1/85 of 27" August, 1995. Government Financial Regulations and Procedures Chapter 23. Documents are to be preserved for a stipulated minimum period of time as detailed below: Books, Records Preservation Period Principle Ledger 10 Years Cash Books 10 Years Journals 3 Years Payment Vouchers 5 Years Paid Cheques 3 Years Completed Indent Warrant 12 Months Completed Order Books 12 Months Duplicate Receipts 12 Months Duplicate Payment Vouchers 12 Months Inclusion, when sensitive records are destroyed this must be done in accordance with the law, statutes, regulation and operating procedure. The records must be disposed of with case to avoid inadvertent disclosure to unauthorized patties. An inventory of the types of records that have been disposed of must be maintained, including certification that the records have been destroyed. Records should never be simply discarded as any other refuse.