Records Management Program Procedures

6 Records disposition, destruction, and release

6.1 RECORDS DISPOSITION

6.1.1 Records disposition

Records disposition simply refers to the decision that must occur when university records reach the end of their specified retention period. When retention ends, records should be destroyed or released to UARM for inclusion into its collections of historical records. In select cases, retention may be extended for a defined period of time. This decision must be applied regardless of where the records are stored or the format in which they are stored. Retention rules apply if the records are stored in units or in storage with UARM, or if the records are physical or electronic.

6.1.2 Tracking retention of records

Retention of records is tracked by one of two parties: the unit retaining the records or UARM when records are placed into storage. For records stored in-house by the custodial unit and not sent to UARM for storage, retention must be tracked according to the records retention schedule in whatever way necessary by that unit. It is not the responsibility of UARM to notify those units that retention has expired for its records. Note that this extends to all electronic records, retention of which are not tracked by UARM; it is incumbent on the custodial unit to delete electronic records and data insofar as it is capable once retention ends.

For university records stored with UARM, that unit enters the box retention data into its database and tracks retention. UARM will notify the custodial unit when retention expires and request that a disposition decision be made at that time. It is important that this decision be made in a timely manner, as the university continues to pay storage costs for those boxes of records under review and unnecessary retention of records can place the university at legal risk.

6.2 RECORDS DESTRUCTION

6.2.1 Records destruction

Records sent to UARM for destruction are destroyed by a variety of means depending on their format. Paper and photographic records are sent to a vendor to be shredded and pulped for recycling. Cassette tapes, reel to reel tapes and films, VHS tapes, microfilm, flash drives, SD and micro-SD cards, and certain special items like x-ray films and spools from card printers also are sent to a vendor for pulverization. Microfiche, magnetic cards, CDs, DVDs, Zip disks, and floppy disks of all sizes are shredded in-house by UARM. Hard drives and computing equipment are not disposed of by UARM but must be sent to Procurement Services using the appropriate webform.

6.2.2 Destruction of paper records

Paper records to be destroyed must be delivered to UARM in sealed boxes not exceeding the size of a standard copier paper box. Any box is acceptable so long as it is no greater in volume than that, is not so deteriorated that the contents of the box are exposed, and has a lid and is sealed with some sort of adhesive tape. When sending boxes to be destroyed, do not send them in the same order with boxes to be stored.

Do not include non-paper items of any sort within boxes of paper records to be destroyed. This especially includes metal hanging folders, 3-ring binders, and non-paper electronic media, such as tapes and disks.

When preparing boxes of paper records to be delivered for destruction, request from UARM the appropriate delivery sticker (pictured here) to be affixed to each box; a webform on the UARM website is available for this purpose. This helps to identify which boxes are intended for storage and which are intended for destruction.

6.2.3 Destruction authorization memoranda

When – and only when – physical records are stored with UARM, the custodial units will be informed when retention for those records expires. This is accomplished through the use of disposition authorization memoranda. Upon retention expiration and for records that are to be destroyed, UARM will send a destruction authorization memorandum to the custodial unit requesting that it make a disposition decision with regard to those records. The disposition choices are as follows:

• Destruction of the records
• Request to review the records prior to destruction
• Request to extend retention of the records

The records contact must select one of these options and return the memo to UARM, which then will conduct the appropriate action.

If destruction of records is selected, the boxes will be withdrawn from storage, but not sent to the custodial unit for any review. UARM will verify that the correct boxes will be destroyed, but will not conduct any more specific or detailed review.

If request to review records is selected, the boxes will be sent to the custodial unit for review with the expectation that this review is completed in a timely manner, preferably less than sixty days. Once the review is completed, the unit will return the boxes to UARM with instructions for their disposition. The unit is responsible for creating new container lists for boxes in which the contents were changed, such as if selected files are removed.

If request to extend retention is selected, the custodial unit may or may not review the boxes of records but will specify a set period of time by which retention should be extended. Units must supply a reason for requesting a retention extension, which may be for any of the following:

• Applicable legal action or order that halts destruction of those records, upon guidance received from the Office of General Counsel
• Changes to legal or regulatory requirements affecting the retention of the records
• Use of the records in an ongoing external or internal audit
• Continuous, persistent use of the records for the work of the unit, as mutually defined by UARM, the unit, and university administration as may be appropriate

Very few reasons outside of those listed above will be considered with regard to extending retention for university records scheduled to be destroyed. Requests for permanent or indefinite retention will not be honored except in the most unique of circumstances. Retention of records beyond their retention period creates a cost burden for the university and creates legal risks for it.

6.2.4 Destruction of paper records by units

University units are not restricted from destroying paper records in-house. Use of a suitable paper shredder is recommended if this is done.

For records governed by the university records retention schedule, custodial units should complete the notification of the destruction of university records webform on the UARM website to indicate that those records were destroyed when retention expired (https://sites.udel.edu/uarm/notification-of-the-destruction-of-university-records/).

In select cases, usually based on the volume of records to be destroyed or the high sensitivity of those records, UARM will work with its records management vendor to arrange for portable shred bins to be placed within those units’ offices and facilities. Contact UARM for additional information on this.

6.2.5 Deletion of electronic records and data

It is the explicit responsibility of university units to manage their own electronic records and data, in conjunction with university Information Technologies as appropriate. There exists no mechanism for UARM to track the retention of individual unit’s digital recordkeeping. However, guidance and rules for the retention are provided within the records retention schedule wherever possible.

Retention is agnostic in the sense that the format of the records does not or should not affect disposition when their retention period expires. Paper and electronic records ideally should be destroyed or deleted on the same timeline according to the schedule. Deletion of data from university-wide information systems may be difficult, and Information Technologies should be contacted for any problems in this regard.

6.2.6 Litigation holds

Litigation holds are the action taken to halt the destruction or deletion of university records because of anticipated, pending, or active litigation in which the university is involved. Generally, information about litigation holds is communicated to university units and personnel from the Office of General Counsel, not UARM. However, if UARM has knowledge of a litigation hold, it will take the appropriate course of action, even if the unit previously approved the destruction of the affected records.

It is important to understand that destruction or deletion of related records pertains not only to situations in which litigation actively is being conducted, but also in situations when litigation may reasonably be understood to be anticipated or impending. For guidance in these situations, contact the Office of General Counsel. These applies equally to records sent to UARM for destruction and records to be destroyed or deleted within the custodial unit.

6.3 RECORDS RELEASE

6.3.1 Records release

Records release simply refers to the transfer of records from the administrative control of the custodial unit for those records to UARM for review and possible inclusion within its historical collections. It is not the same as records destruction, although some records may be weeded from released records due to a lack of historical content. Records release is the process whereby university records pass from being active records – those actively used by university units and personnel to conduct their work – to inactive records – those for which retention expired and that are held by UARM for archival appraisal and processing. This is a critically important step, as it is the primary means by which UARM builds the collections that document the university’s history.

UARM always should be consulted before potentially historical material is discarded or destroyed. There is no expectation that university personnel “act as archivists,” in the sense of making professional judgments about the historical content and importance of university records, but rather that UARM should be the arbiter of these decisions.

6.3.2 Release authorization memoranda

Release authorization memoranda operate in similar fashion to their destruction counterparts. Again, when – and only when – physical records are stored with UARM, the custodial units will be informed when retention for those records expires through use of disposition authorization memoranda. Upon retention expiration for records that are to be released, UARM will send a release authorization memorandum to the unit requesting that it make a disposition decision with regard to those records. The disposition choices are as follows:

• Release of the records
• Request to review the records prior to release
• Request to extend retention of the records

The records contact must select one of these options and return the memo to UARM, which then will conduct the appropriate action.

If release of records is selected, the boxes will be withdrawn from storage, but not sent to the custodial unit for any review. UARM will verify that the correct boxes are being released and will repack and renumber the boxes to await further archival appraisal and processing as historical records. At this point in time, the records pass from active to inactive status, and administrative custody of the records passes from the custodial unit to UARM. Those units may continue to access these inactive records, but they must do so within UARM’s facilities and they may not destroy or withdraw any of the records.

If request to review is selected, the boxes will be sent to the custodial unit for review with the expectation that this review is completed in a timely manner, preferably less than sixty days. Once the review is completed, the unit will return the boxes to UARM with instructions for their disposition. Removal and destruction of records to be released is discouraged strongly, as the purpose of releasing the records is to build UARM’s historical collections and these actions undermine that process.

If request to extend retention is selected, the custodial unit may or may not review the boxes of records but will specify a set period of time by which retention should be extended. Units must supply a reason for requesting a retention extension, which may be for any of the following:

• Applicable legal action or order that halts destruction of those records, upon guidance received from the Office of General Counsel
• Changes to legal or regulatory requirements affecting the retention of the records
• Use of the records in an ongoing external or internal audit
• Continuous, persistent use of the records for the work of the unit, as mutually defined by UARM, the unit, and university administration as may be appropriate

Very few reasons outside of those listed above will be considered with regard to extending retention for university records scheduled to be released. Requests for permanent or indefinite retention will not be honored except in the most unique of circumstances.

6.3.3 Release of records by units

Records not stored with UARM may be released directly to UARM by their custodial units. This includes both physical and electronic records. An example of this sort of situation is when a storage closet is examined and found to contain potentially historical records that should be transferred to UARM for appraisal, or when unit personnel separate from the university and leave behind records that should be investigated. In these circumstances, the unit should contact UARM for further transfer instructions.