records retantion and disposal schedule

Saturday, April 8, 2023 mwombekirutta@gmail.com 1

TOPIC THREE

RETENTION AND DISPOSAL SCHEDULE

Mwombeki Rutta

• He is a Records Management Officer at National Museum of Tanzania.

• Currently, he is finalizing his first bachelor degree in Public Administration in Records and Archives Management at Mzumbe University.

• He is an active member of Tanzania Records and Archives Management Professionals.

ACADEMIC QUALIFICATIONNAME OF THE SCHOOL COURSE DATE AWARD

MZUMBE UNIVERSITY BACHELOR OF PUBLIC ADMINISTRATION IN RECORDS AND ARCHIVES MANAGEMENT

OCTOBER 2011 TO JULY 2014 (Still a student in third year)

TANZANIA PUBLIC SERVICE COLLEGE

DIPLOMA IN RECORDS MANAGEMENT

JUNE 2007 TO DECEMBER 2008

DIPLOMA IN RECORDS MANAGEMENTCLASS:UPPER SECOND

TANZANIA PUBLIC SERVICE COLLEGE

CERTIFICATE IN RECORDS MANAGEMENT

FROM JULY 2006 T0 JUNE 2007

CERTIFICATE IN RECORDS MANAGEMENTCLASS :UPPER SECOND

ST.THOMAS AQUINUS SECONDARY SCHOOLLOCATION:TABORA TANZANIA

CERTIFICATE OF SECONDARY EDUCATION EXAMINATION

FROM 1998 TO 2001 CERTIFICATE OF SECONDARY EDUCATION EXAMINATIONDIVISION:THREE POINT 24

USSOKE PRIMARY SCHOOLLOCATION:USSOKE ,URAMBO-TABORA

CERTIFICATE OF PRIMARY SCHOOL

1991 TO 1997 AWARD:CERTIFICATE OF PRIMARY SCHOOL

PROFESSIONAL AWARDS.

• CERTIFICATE OF BEST STUDENT AWARD AFTER BEING THE OVERALL BEST STUDENT IN DIPLOMA IN RECORDS MANAGEMENT DURING THE ACADEMIC TENURE JULY 2007 TO DECEMBER 2008

CONTACT ADDRESS

P.O.BOX 511 DAR ES SALAAM

Mob: 0718420086 0766100510

Email:mwombekirutta@gmail.com

Mwombeki Rutta

Introduction

• Records retention and disposal schedule is the control document recording appraisal decisions and prescribing disposal action (IRMT, 1999)

• Records retention schedules are the primary mechanism by which records are managed throughout their life cycle.

• The records retention schedule, sometimes also called a records disposition authority or a records retention and disposition schedule, is a control document that:

a) Identifies all the records created or maintained by the organization or an administrative unit of a public service organization;

b) Specifies the periods for which they are to be retained and their place of custody during those prescribed retention periods

c) Authorizes their disposal at the appropriate time and indicates the disposal action to be taken.

• The preparation of retention schedules is suppose to be a task of each individual Public Office. According to the Tanzania records and archives act heads of public offices are responsible in updating their schedules when needed. The Records and Archives Management Act, N0. 3 of 2002, section 9 part III explains the responsibilities of heads of offices for records, which include drafting retention and disposal schedule relating to records specific to their particular public office.

• So for the proper management of any public office can not avoid ensuring the following instruments are in place. Such instruments include:

a) The Records and Archives Actb) Records Management Policyc) Records Management Standardsd) Records Management Guidelines and Procedurese) Retention and Disposal schedulef) Records Centre Procedure manualg) Archives Acquisition Policyh) Access policy

• In order for the public service and all organization to be able to know a length of time that records should be retained in an office or transferred to an archival institution or otherwise disposed of. Every office need to develop or use retention schedule which will be used as a guide to identify records that have continuing utility or values and those valueless that need to be destroyed.

THE PURPOSE OF RETENTION AND DISPOSAL SCHEDULES:

a) Ensure that records are retained for as long as they are needed and no longer

b) Consistent approach across the organizationc) Avoid unnecessary duplicationd) Ensure appropriate storage locatione) Identify and protect “Vital records”f) Identify records of long term value and

ensure their preservation

STEPS IN DEVELOPING RETENTION SCHEDULES

a) Formation of retention teamb) Training the teamc) Identification of series and sub-series of records

from organizationd) Analyzing the file series and sub-series the team

should satisfy itself by the questionse) Filling in the questionnaire for each series and sub-

series in order to make appropriate retention decision.

f) Setting retention period

Formation of retention team

• In developing a records retention schedule, there should be a group of the following:-

i. Senior officers from respective functional areasii. Experienced records staff from particular

office/organisationiii. Record officers from the national archivesiv. Experienced university academicians particularly from

history department and archives departmentv. Representative from civil societyvi. All potential stakeholders.

Training the team

• An appointed/ selected team should be trained on basic principles of records and archives management and later specifically on records appraisal and retention schedules

• The team will start appraising records either file by file (micro appraisal) or series by series (macro appraisal). At every stage a decision has to be made and the apparaisal decision has to be agreed and recorded for a particular file or series. The agreed decision will be a basis for judging and grouping all other records that are similar in so many ways to the former.

Identification of series and sub-series of records from organization:

– Re-grouping the files by identifying those which similar within the series and which can constitute sub-series;

– Dealing with each series in turn using the series identification sheets;

– Recording the sub-series identified on the series identification sheet; and

– Listing files examples from the identified series and sub-series.

Analyzing the file series and sub-series the team should satisfy itself by the following questions:

– What is the primary purpose for creation of a record series and sub-series?

– What is the period of usefulness i.e for how long will the purpose be served?

– What will be the earliest disposal point without a secondary consideration e.g. after payment has been made?

– What is the secondary consideration of claims, complaints, audit etc? and

Filling in the questionnaire for each series and sub-series in order to make appropriate retention decision.

Setting retention period:

• The ultimate output of the retention team is to determine the life cycle of the records by assigning retention periods to all of the records of the organization or public service. The retention period for the records can be divided as follows:

a) Active retention periodb) Semi-active retention period

ACTIVE RETENTION PERIOD

• Is a period of time for which the records have continuing administrative value to the creating organisation. Records creators and users are best able to determine and set active retention period. As records are likely to be required regularly during the current or active phase of their life cycle, their place of custody for this period will be the originating office.

SEMI-ACTIVE RETENTION PERIOD

• Is the remainder of the time for which the records will have a primary value by virtue of being required to meet ongoing financial or legal needs as determined by the appraisee.

• All in all a retention periods should retention decision be made e.g. permanent, 20 years, 5years, 6months for each series, sub series etc.

TYPES OF RETENTION

• We have two types of retention schedule:a) Specific scheduleb) General schedule SPECIFIC SCHEDULE• Is a type of retention which is developed by individual

Organizations specifically for their records. GENERAL SCHEDULE• Is a type of retention developed and published by Government

archival agency for use across a particular group of organizations

CONTENTS OF RECORDS RETENTION SCHEDULE

• The records retention schedule should contain the following information elements:

Records retention schedule number• This is the reference code for the schedule.Date• The date on which the records retention schedule was

prepared also should appear on the form.Name of the organizational unit• The form should include a space for the name of the office

responsible for the creation and maintenance of the records being scheduled.

Contents cont…. Records series name• A name should be assigned to the record being scheduled,

which reflects the purpose, or function of the records series and which can be used for identification purposes.

Records series description• A description of the contents, purpose and function of the

records series being scheduled should be included as part of the records retention schedule.

Approvals• There should be space on the records retention schedule

form reserved for the signature of approving authorities.

Contents cont…. Media• Should also indicate the type of media on which the records being

scheduled are recorded, e.g. paper, microfilm or digital.• Retention period• Periods for each item covered by the records retention schedule.• Access restrictions• Certain records scheduled for full or partial transfer to Archives may be

sensitive and should not be available for public research for a period of time. When this is the case, the records retention schedule should indicate the period of time for which the records will remain closed.

DISPOSAL OF RECORDS

• This is the last phase in the records lifecycle of records, where by the decision should be made whether to retain the records or to destroy them. The actions taken with regard to records as a consequence of their appraisal and the expiration of their retention periods and the date on which actions specified in a disposal schedule is known as disposal schedule.

• However, it should be NOTED that all records from the creating agencies should not be destroyed without a written permission from the relevant authorities; for the case of Tanzania the permission to destroy should come from the minister responsible for the management of public records after such a recommended list for destruction has been gazetted for 90 days in the official gazette.

Benefits of records disposition

• In some organizations there is a culture of holding onto everything just in case. Senior officials tend to be unwilling to authorize destruction due to a concern that they may be acting illegally. Such a policy may allow backlog accumulation of unwanted records and unnecessary duplication of records within their offices and this will hinder the speed of records access.

Benefits cont…….

• In fact, it is vital to appreciate that several significant benefits accrue from the destruction of records:

The destruction of valueless records enhances the orderly storage of newer, more important records.

Achievement of an orderly work environment is of benefit to members of staff.

Legally, the destruction of records may be as important as appropriate retention. In legal cases, organizations may be forced to release damaging records that they could quite legitimately have disposed of, and may suffer as a result of needless retention.

Records storage can be expensive in financial and spatial terms. Economy is achieved by the destruction of records whose significance has expired.

PRINCIPLE OF DISPOSAL

• The disposal of records should not be carried out lightly. Some general principles underlie policy. Disposal should be:

i. Authorizedii. Timelyiii. Securediv. Documented

Authorized

• Authorized refers to the fact that disposal must be consistent with policy, regulations and legislation, and fiscal and administrative requirements. These requirements are summarised in records retention schedules and disposal authorities. The schedules should be employed by staff members to inform decisions to destroy records or retain them as archives. When each file is created, it should be sentenced with reference to the relevant records retention schedule and disposal authority.

Timely

• That the disposal of records should be timely indicates that it should occur at opportune moments:

• Records should not be destroyed until retention periods based on regulatory, legislative, fiscal and administrative requirements have expired.

• Records should not be stored for longer than necessary. Retention of records can be costly in financial and spatial terms.

Secure

• The destruction of records should be carried out in such a manner that information is irrecoverable. Depending on the format of records, destruction may be effected using different methods.

Documented

• Documentation of records disposal is particularly important in organizations where there is a necessity to strive to fulfill the criteria of the principles of transparency and accountability.

• Many organizations retain a destruction register. This comprises a simple list of records that have been destroyed. A further element is that a management level staff member responsible for records disposal should endorse it by examining the records and the destruction register prior to destruction being carried out. This is necessary to ensure that records are no longer needed.

• Furthermore, in a legal context, or where records are requested before the court to provide evidence, and where relevant records have been destroyed, a destruction register is particularly beneficial to organizations. The destruction register provides proof that records have been destroyed. This may save organizations from having to trawl through existing records needlessly.

Implementation of retention and disposal schedules in the records centre

• Review of lists• Records subject to review are brought up after

a period set by the relevant disposal schedule. Arrangements for conducting the review may vary, but the review of records itself must be carried out by appropriate officers in the originating agency in consultation with senior records staff, or by staff of the records and archives institution

Identifying records for disposal

• The status of records in the records centre must be reviewed annually so that all those scheduled for action are dealt with appropriately. Plan a programme that will ensure that all actions are carried out at the appropriate time or as soon as possible afterwards.

Procedure for Disposing Records

• Records centre staff will be responsible for identifying and preparing records for transfer to the archival institution or for destruction. This work involves maintaining disposal schedules, ensuring the appropriate and secure transfer of records and documenting all actions taken.

• The Retention and Disposal Schedule prescribes how long an organization must retain each specific type of record that it uses. This procedure informs on how organization may accomplish an efficient and systematic disposal of records that are stored in the office and at the Records Center

Taking Disposal Action

• All records transferred into the records centre must be transferred out of it at the appropriate date known as ‘action date’, that is, the date on which some pre-determined action is scheduled to take place. The records centre staff are responsible for ensuring that the correct procedures are activated and carried out at the right time.

Disposal can include

• Physical Destruction: Records should be scheduled for destruction at the expiration of their primary value if, based on the appraisal, they have no continuing secondary value.

• • Transfer to Archives: Records should be

scheduled for archival preservation at the expiration of their primary value if they have continuing secondary value

• In the disposition, records are categorised as followed:

a) for destructionb) for transfer to the archival institutionc) for review.

PROCEDURES FOR TRANSFERING RECORDS TO ARCHIVAL INSTITUTION

Identify records which are scheduled to be transferred to the archival institution.

Remove the boxes and check the contents to ensure that all metal pins, clips etc have been removed and the records are clean and in order.

Amend the relevant transfer list in the master transfers file for the agency concerned. Remove the copy of the transfer list from the action dates file and place this copy in a records transferred to archives file.

All records to be transferred to the archival institution must be listed. The archival institution will likely use an accession form, and it may ask that this form be completed when preparing the records for transfer.

Notify the originating agency of the change in status of the records by sending them an amended copy of the transfer list.

Destruction of Records in the Records Centre

• To destroy records in the records centre, should follow these steps.

Once the disposal forms have been duly signed by the transferring organisation, department, the records centre is authorised to carry out the destruction. No files may be destroyed unless a disposal form has been received from the creating organisation.

Identify the location of the boxes which are to be destroyed from the location register. Remove the boxes concerned. The contents should be burned, shredded or recycled under close supervision.

Cross out the entry for the destroyed boxes in the Location Register. This location is now ready to be used for a new transfer.

Cross out the entry for the box in the Transfer File and stamp the form with a ‘boxes destroyed’ stamp, with the date. If there is no stamp, write the action you have taken against the entry.

Send a copy of the amended transfer list to the records office which transferred the files and ask that the old form be destroyed.

File the signed records centre disposal form in the records centre destruction authorizations file alphabetically, under the name of the creating agency.

At the end of the year compile statistics of the number of boxes of records destroyed, in total and by agency, for inclusion in the annual report.

Methods of destruction

• A number of different methods can be used to destroy records. The choice of method will depend on the following factors:-– The volume and dimensions of records to be destroyed;– Restrictions made by relevant legislations or regulations

on certain methods of destruction;– Local availability of recycling services;– Desire for organizational control over the destruction

process; and– The confidentiality of the documents

Methods of destruction

• It is essential that especial attention be paid to its disposal. Several methods are used to destroy paper records:

i. Shredding - this can be extremely secure. Extremely sensitive papers may require cross-shredding.

ii. Pulping - this is extremely secure. Moreover, this method is environmentally friendly as pulped paper can be recycled.

iii. Burning - this is not particularly secure. If this method of destruction is employed, and contracted out, an office should seek to ensure that it is carried out in a secure location. Moreover, densely packed papers may not burn very well and this method of records destruction is not environmentally friendly.

•THE END

records retantion and disposal schedule

records management

active retention

records retention

records retention

retention

archives management

retention

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Education

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