Disposal of Records PDF

IMD237: FUNDAMENTALS OF RECORDS Chapter 8 CENTER Management of MANAGEMENT records in record center Disposal of records Learning Objectives Describe how the review procedures take place upon the records in the reco...

IMD237: FUNDAMENTALS OF RECORDS Chapter 8 CENTER Management of MANAGEMENT records in record center Disposal of records Learning Objectives Describe how the review procedures take place upon the records in the recods center. Explain the destruction procedures of the records kept in the records center. Discuss the process of transferring records from the records center to the archival institution. Disposal of records Review procedures Destruction procedures Transferring to Archival Institution DISPOSAL RECORDS Disposal of records includes destruction of obsolete files and transfer of records of enduring value to the archival institution. No records should ever be destroyed without written specific authority, based upon procedures laid down in the ruling legislation. Responsibility to carry out destruction of records comes from the disposal schedule. Responsibility to carry out review procedure is shared between officers nominated by the records and archival institution. ACTION DATE AND REVIEW PROCEDURES All records transferred to the RC must be transferred out at the appropriate date. This is call as Action Date. The RC staff are responsible for ensuring that disposal procedures are activated and carried out at the appropriate time. The Action Date Files contains the 2nd copies of Transfer List, arranged in order of the dates of proposed action. The records in the Action Date Files are used to control the disposal process. Colored piece of cardboard also can be use as a noticeable marker.  Disposal action should be undertaken on an annual cycle. It is good practice to consult the action dates file at the same time each year such as January. It is advisable to spread the task by selecting only boxes that came from one agency, then continue with other offices. It is important that an annual disposal action cycle should completed within one year. Records for disposal can be categorized as followed: 1. Review 2. Permanent 3. Destruction RECORDS FOR REVIEW Records schedule for review are those that are impossible to evaluate for disposal at an early stage in their life. The appraisal process should ensure that only a small percentage of records are schedule for review. The RC is responsible for ensuring that reviews are carried out on time and to a satisfactory standard. RC staff have authority to review the records based on several factors such as: 1. No record management capacity in the Creating Agency. 2. Creating agency no longer exist and no obvious successor. 3. No qualified officer in the creating agency.  If a review results in records being kept in the RC for an extended period, the review date on the copies of the Records Transfer List must be changed, in both the departmental Transfer List File and the Action Date File. The copy in the Action Date File can then be re filed under its new action date. Advantage Of Review By Record Center 1. Consistent between agencies The continuing value of the records generated by one office can be considered in the context of records generated by other agencies. (Assumes that the RC staff are sufficiently experienced). If not they should work under close supervision by senior officer. Disadvantage Of Review By Record Center Time consuming Unable to keep to review program as required by disposal schedule. A backlog review work will rapidly grow. RC become less efficient. Advantage Review By Creating Agencies 1. They have most detailed knowledge of the contents and use of the records.  Consult ADTLF Select files ready for review REVIEW PROCEDURES BY RECORDS CENTER Identify boxes Carry out review If retained, notify creating agency If transferred to archive, notify archive & creating agency If destruct, notify creating agency Send RC notification form to creating agency Check if reply received Carry out disposal action Amend MTLF Amend ADTLF Amend ROTLF  DESTRUCTION OF RECORDS RC have the authority to destruct the records when the action date arrives. However, RC staff still have to notify the creating agencies and received confirmation. RC have to send a duplicate form on an `authority to destroy’ and note the date by which a reply should be received. Normally one month. If no reply, send a reminder. Still not received any response, reported this matter to Record Manager. DESTRUCTION PROCEDURES 1. Review the location register and identify its location. 2. Remove the boxes and stack them in the loading bay area. 3. Carried out destruction by referring to the procedures (to preserve confidentiality) 4. Destruction should be carried out in a control manner. 5. Destroy the whole boxes, not individual files. 6. As long as box still contains records that must be kept, the whole box should be retain. 7. It is uneconomical to move the records that remain in half-empty boxes to another box, because this would involve updating all the retrieval records as well.  8. When the files has been destroy, the box number may be crossed off the box and the box may reused (If it is in reasonable condition). 9. The location register entry for the destroyed boxes should be crossed out and the new empty locations noted in the column. The location are now ready to be used by a new set of transfer records. 10. The entry for the box on the relevant list in the Master Transfer File should be crossed out and stamped with a `boxes destroyed’ stamp, with the date of destruction. 11. If every box on the RC transfer List has been destroyed, remove the list and place it in the Destroyed Boxes File. 12. A copy of the amended transfer list should be sent to the creating agency with instruction to destroy superseded copies. TRANSFERRING RECORDS TO THE ARCHIVAL INSTITUTION 1. RC have the authority to send the records to the archival institution when the action date arrives. 2. Action date file can be used to identify records to be transferred to the archival institution. 3. RC have to notify the creating agency by sending a RC Disposal Form. 4. These boxes should be removed and stack them in the loading bay area. 5. Relevant transfer list should be amended to indicate when the records were transferred to the archival institution. 6. The creating agency must be notified of the change in the status of the records by sending them a copy of the emended transfer list. 7. Once the materials are sent to the archival institution, they become archives and subject to the regulations.