Records Management Guide to Destroying Records

Originator: MMU Information and Records Manager

Updated: February 2013.

Introduction

For compliance with Data Protection and Freedom of Information legislation it is important for the University to have a record of what has been destroyed, when, why and on whose authority.

I have provided a step by step guide, which should be followed before any records are destroyed.

Note:

  • Although the retention schedule will provide the basis for your selection and decision-making process, also be aware that the schedule only defines minimum retention periods. Be prepared to consider any special circumstances which may alter the situation for individual records (for example, any record which is the subject of an ongoing FOI request should not be destroyed, even if due for destruction according to the retention schedule)
  • Subject to the considerations above, ensure all copies of records scheduled for destruction are destroyed (including those stored off-site, or electronic records stored on back-up tapes or servers)
  • Ensure records are destroyed in a confidential and non-recoverable manner (e.g., cross-shredding of paper records)
  • The disposal of each department’s core business records (both paper and electronic) must be controlled by retention schedules, and should be managed by designated Records Administrators

Step by Step Guide:

Step 1 (Optional – Refer to Appendix for an example)

Complete a Record Inventory Form

It is important to understand where and how all records are used and stored.

Record administrators should be asked to record details of ALL records/information sets

their department is responsible for, even if they think they may be duplicating information

provided by another department or manager.

Step 2

Identify records for destruction against the records retention and disposal schedule

-Identified records must be added to a record destruction form (this will provide evidence of lawful destruction)

-Send the form to your manager for approval or authorised personnel.

Step 3

Once approval from Manager has been obtained via Signature – Destroy the Records

-Destroy records using appropriate method.

-ALL CONFIDENTIAL RECORDS MUST BE CROSS SHREDDED OR OTHERWISE RENDERED UNREADABLE.

-Nonconfidential records can be disposed of by putting them in the blue paper & cardboard recycling bins.

-When you delete an electronic file, ensure that it has been deleted from your electronic recycle bin and from any local backup sources (eg USB memory sticks etc).

Step 4

Once the destruction takes place, the completed original destruction form must be sent to your Faculty Learning and Teaching Group Manager.

The Learning and Teaching GroupManager will maintain a log of the volume and actual dates of records disposed.

The Records Destruction form and instructions are on the following pages. The form will be made accessible to all staff via the University Records Management website.

Department Name: / Total # of Boxes/Bags:
Date: / Office Address: / Telephone:

CAUTION: A record may not be destroyed if any litigation, claim, negotiation, audit, freedom of Information request, administrative review, or other action involving the record is initiated before the expiration of the retention period. The record must be retained until completion of the action and the resolution of all issues that arise from it, or until the expiration of the retention period, whichever is later.

Required Approval / Departmental Destruction
Senior Records Administrator: / Date: / Date of Records Destruction:
Department Head (Optional): / Date: / Destruction Method:
Shredding ____
Discard ____
Outside Vendor ____
Destruction Witness:

Request for Department Destruction

I certify that these OFFICIAL RECORD COPIES are past the retention period specified by the Records Retention and Disposal Schedule and that all audit and administrative requirements have been satisfied.

I certify that no HOLD has been placed on these OFFICIAL RECORDS due to any litigation, claim, negotiation, audit, or open records requests and all administrative requirements have been satisfied.

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Department Name: / Total # of Bags:
Date: / Office Address: / Telephone:
Retention Schedule
Function Name / Description of Records / Date Range
(mm/yr) / Retention
Period / Medium

INSTRUCTIONS FOR FILLING OUT THE RECORDS DESTRUCTION FORM

  1. Fill in your department name, address, phone number, date, and the total number of bags to be destroyed.
  1. Locate a description of your records in the Records Retention and Disposal Schedule and enter the Function (e.g. Teaching and Learning) that corresponds with the records retention and disposal schedule function.
  1. Enter the description of the records (ref: Records Retention and Disposal Schedule ‘Records About’) in the “Description of Records” column.
  1. Fill in the “Inclusive Dates” of the records in the individual box. Please include ‘From’ and ‘To’ in month and year.
  1. Fill in the “Retention Period” (ref: Records Retention and Disposal Schedule) listed for the records in the Retention Period column.
  1. Fill in the “Medium” of the records (for example, P=paper, E=Electronic, etc.).
  1. The Department Records Administrator and/or Department Manager must sign the form.
  1. The completed original Records Destruction form must be forwarded to your Faculty Learning and

Teaching Group Manager.

  1. A Copy of the completed Record Destruction form should be kept by Department’s Record Administrator for reference.

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Appendix - Example of a Record Inventory Form

Department Name:
Date: / Office Address: / Staff Name:
Record Groups / From yy / To yy / Retention Period
(Ref: Retention & Disposal Schedule) / Years of records
to be destroyed / Medium of Master
E –Electronic
P - Paper / Any
Duplicates? / Destruction
Method / Owner of
Records

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