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Records Management Essentials Section 3 3.10. Destroy records as necessary
3.10. Destroy records as necessary
An essential part of implementing a records retention program is destroying all records, regardless of format, that have a disposition of destroy when their retention has been met. The retentions stated on retention schedules do not only indicate the minimum amount of time that a record should be kept, they also indicate the point at which a record should be disposed of. If the schedule says “Retain 3 years and then destroy,” then the records should be destroyed after three years.
TIPS for managing the destruction of records:
- Establish a routine for destroying records (according to an approved retention schedule) as part of your normal course of business.
- Be clear about who is responsible for the destruction of each copy of the record, and how and when the records will be destroyed.
- Document the disposal of records, citing the retention schedule which authorized disposal, the date, and the names of persons who disposed of the records. A destruction log can prove invaluable if your records become part of an audit or litigation, but may also simplify the process of responding to GRAMA requests by clarifying whether or not you possess the requested record. A model destruction log can be found on the archives website.
All copies of a record should be destroyed at the same time as the record copy (if it was not done sooner). Since records are state property, a records officer may NOT transfer custody to the private sector in lieu of disposing of them. Paper records should be thoroughly destroyed and should not be recycled. It is important that record information be destroyed in a way that prevents it from being pieced back together. Electronic record information should also be destroyed in a way that precludes retrieval. Consult with your IT department to determine the best process for your agency.
There are situations wherein it is necessary to suspend destruction of a particular record:
- When records are involved in an ongoing investigation, organizations are required to preserve records related to the potential case, including electronic records such as email.
- When there is a reasonable expectation that records will be required for possible litigation.
- If the agency receives a Litigation Hold Notice: a written directive advising custodians of certain records that they must not destroy evidence that may be relevant to future litigation.
- If there is a pending GRAMA request for a record when the retention period ends, then destruction of the record should be suspended until the GRAMA request has been fully addressed (including appeals).
- If the record is being used in an audit when the retention period ends, then destruction of the record should be suspended until the audit is complete.
- If there are concerns about the scheduled retention, if it seems incorrect. In this scenario, the records officer needs to contact a RIM specialist at the Utah State Archives in order to discuss his/her concerns. The RIM specialist can investigate the reasoning behind the original appraisal and scheduled retention of the records, and, as needed, work with the records officer to get a more appropriate retention approved.