RECORDS DESTRUCTION PROCEDURES FOR LOCAL GOVERNMENTS

PROCEDURAL
LEAFLET

October 2000

RECORDS DESTRUCTION PROCEDURES FOR LOCAL GOVERNMENTS

Outdated records can overwhelm the active files and storage spaces of local governments. Records Disposition Authorities (RDAs) approved by the Local Government Records Commission can be used to reduce the paper explosion and increase available computer memory by permitting short-term records to be legally destroyed. Destruction of outdated records at regular intervals is a crucial component of an effective records management program.

The Government Records Division of the Alabama Department of Archives and History no longer approves the destruction of local government records by returning a signed destruction notice to a submitting agency. Instead, the GRD acknowledges receipt of the notice and maintains a copy of it permanently, thus providing ongoing documentation that the agency followed approved guidelines in destroying its records. The GRD will also review a notice for errors if the agency submits it at least 10 days before the scheduled date of destruction. After the records destruction is carried out, the agency maintains a copy of the notice for its required retention period.

This procedural leaflet offers general guidelines for disposing of local records when their required retention periods have expired.

1. When to Destroy Records

Records destruction functions most effectively when it is a routine procedure of office records management and is carried out at regular intervals. Certain events offer particular opportunities for an organized destruction of obsolete and outdated records:

the release of an audit report;
the end of a fiscal year;
a change in administration;
in the case of a school system, the end of an academic year.

The designated retention period assigned to a record in the RDA is the minimum length of time that the record must be kept. Records may be kept longer (see "When Not to Destroy Records" below); however, maintaining short-term records longer than necessary "just in case" will quickly lead to overcrowding of valuable storage space.

The agency also submits a destruction notice when old copies are destroyed after the records are transferred to a new format. The Code of Alabama 1975, Sections 41-13-40 and 41-13-44, allows microfilmed records to be substituted for paper records under certain conditions. In cases in which permanent records in paper format are to be destroyed after microfilming, ADAH staff may ask to examine the microfilm prior to the destruction of the paper copies to ensure that the film is created and maintained according to American National Standards Institute (ANSI) and Association for Image and Information Management (AIIM) standards.

2. When Not to Destroy Records

A record, regardless of its format, should never be destroyed prior to the end of its assigned legal retention period. Even records whose retention periods have expired, however, should not be destroyed under the following circumstances:

when the agency is undergoing an audit or investigation;
when there are claims against the agency or a particular program of the agency;
when litigation is either pending or in progress.

In such cases, all records relating to these processes must be retained until a final settlement has been reached.

In a few situations, local officials may wish to retain records of particular local significance that are not designated as permanent under the terms of the applicable RDA, especially when there is a local library or archives available to house the records. In such cases, contact the Government Records Division for advice on the disposition of the records.

3. Who Should Destroy Records

Records destruction is best carried out in an organized, coordinated manner. It is recommended that one records officer be designated for each local agency or school system. Within the agency or school system records liaisons should be appointed from each division, office, or local school to work with the records officer. The records officer coordinates destruction of records by designating the time when it occurs, selecting the records to be destroyed, coordinating the completion of the destruction notices with the records liaisons, securing the signature of the authorizing official, and sending the notices to the Government Records Division of the Alabama Department of Archives and History. The records officer also maintains a copy of the RDA and copies of the completed destruction notices that have been sent to the GRD for their designated retention period.

4. Who Should Sign the Destruction Notice

The "authorizing official" whose signature is designated on the destruction notice is the head of the agency, the person who has the ultimate legal responsibility for the records. For local agencies, the authorizing official may be the probate judge, the county administrator, the revenue commissioner, the municipal clerk, the chief of police, or the local superintendent of education. Notices signed by individuals other than these officials do not constitute adequate authorization for the legal destruction of records, unless the authorizing official has designated in writing a representative who may sign in his/her place.

5. How Should Records Be Destroyed

The destruction notice lists a number of different options for destroying records, including shredding, landfill, burning, and recycling. An important consideration in carrying out the actual destruction of records is to make sure that all the records are actually destroyed. If records are to be taken to the landfill, for example, they should be securely boxed or bagged and taped, so that no records are lost during the process. Records designated by state or federal law as restricted from public access require special attention to ensure that their confidentiality is not compromised. In the case of electronic records, remember that simply deleting data may not remove it from a computer's hard drive. Special software programs may be necessary to purge data and make it permanently irretrievable and inaccessible.

6. Instructions for Completing Destruction Notice. Complete the blanks on the Local Government Records Destruction Notice as indicated below. Please type or print legibly in black ink.

Date: Date notice is completed.

Local Government: Name of the your county or municipality.

Department: The principal administrative unit responsible for the records, i.e., county commission, city clerk, police department, board of education.

Program Unit: The unit within the department where the activity originates, i.e., personnel department, patrol division, superintendent's office or individual school.

Method of Destruction: Method to be used to destroy records. Please refer to "How Should Records Be Destroyed" above.

Date of Intended Destruction: Date you plan to destroy records. If you would like for ADAH staff to review your notice prior to destruction of records, please choose a date at least 10 days after notice is mailed.

Cubic Feet Destroyed: An estimate of the number of cubic feet of records you intend to destroy. Use the following conversion chart to calculate approximate number of cubic feet.

1 standard (15"x12"x10") records carton
1 letter-size file drawer
1 legal-sized file drawer
Woodruff document files (15" deep), 3 drawers
Letter-size shelf unit, 36" long
Legal-size shelf unit, 36" long
Fifty 100-foot 35 mm microfilm rolls
One hundred 100-foot 16 mm microfilm rolls
10,000 tab cards
3x5 cards, ten 12" rows
4x6 cards, six 12" rows
5x8 cards, four 12" rows

1.0 cubic foot
1.5 cubic feet
2.0 cubic feet
1.0 cubic foot
2.4 cubic feet
3.0 cubic feet
1.0 cubic foot
1.0 cubic foot
1.0 cubic foot
1.0 cubic foot
1.0 cubic foot
1.0 cubic foot

Signature and Title of Authorizing Official: Please refer to "Who Should Sign the Destruction Notice" above. This signature certifies that the information on the destruction notice is correct and complete and that the retention requirements for the records listed have been met.

Name/Telephone Number of Person Completing Notice: Include your name and telephone number in case there are questions about the notice.

RDA Record Number: The number listed before the record title, e.g., 1.01, 9.03, etc.

Number of Boxes, Reels, Books: For each record listed, give number of boxes, reels (microfilm), or books/volumes.

Records Title: Exact title listed in the RDA. You may list more than one type of record on the destruction notice.

Date Span of Records: Beginning and ending dates for each type of record listed.

Date of Last Audit: Date of release of most recent audit report by the Examiners of Public Accounts, or, for a municipality or municipal school board, by a private auditing firm.

Note: The last line on the notice is completed after the destruction of the records by the individual witnessing the destruction.

Regular implementation of an approved RDA by destroying obsolete records is just one component in an effective records management program. For additional information on developing and maintaining an effective records management program, please contact the Government Records Division at (334) 242-4452. Current copies of ADAH publications, RDAs, training opportunities, and other information are available on the department's web site at http://www.archives.state.al.us.

For further assistance, please contact:

Alabama Department of Archives and History
Government Records Division
P. O. Box 300100
Montgomery, AL 36130-0100
Telephone: (334) 242-4452 FAX: (334) 240-3433
ADAH web site: http://www.archives.state.al.us