Kansas State Records Management Manual
State Records Retention and Disposition Schedules
Definition
A records retention and disposition schedule is a timetable that identifies
the minimum length of time a record series must be retained before it
is destroyed or transferred to the State Archives. Developed directly
from the records survey, the schedule lists, by record series title,
every record series created and maintained by the agency. Record series
titles remain the same throughout the life cycle of the record series,
from creation to disposition. The schedule also provides for the periodic
transfer and disposition of all agency records.
Note:
The term disposition refers to the reatment of a records series at
the end of the life cycle - either destruction or transfer to the State
Archives.
Statutory/Regulatory Requirements
K.S.A. 45-403 provides that
- "All government records made or received by and all government
records coming into the custody, control or possession of a state
or local agency, in the course of its public duties, and all government
records deposited in the state archives shall not be mutilated, destroyed,
transferred, removed, damaged or otherwise disposed of, in whole or
part, except as provided by law, or as may be authorized in the retention
and disposition schedules."
K.S.A. 45-404 grants the state records board the authority to "approve
or modify retention and disposition schedules . . ." The statute also
provides that "without further action by the board, noncurrent records
of state agencies scheduled for disposition may be disposed of as provided
in the schedules and noncurrent records scheduled for retention may
be transferred to the state archives."
K.A.R. 53-4-1(3) requires records officers for Kansas state agencies
to "prepare and submit retention and disposition schedules for the state
agency's records for approval or modification to the state records board"
in cooperation with the Historical Society staff.
Objectives of a Retention and Disposition Schedule
The objectives of a records retention and disposition schedule are:
- To transfer inactive records to the State Records Center until administrative,
fiscal, and legal retention requirements are met.
- To destroy records that no longer have administrative, fiscal, legal,
or historical value.
- To transfer to the State Archives noncurrent records that have enduring
value.
- To minimize requirements for filing equipment and space.
- To ensure compliance with the Kansas Open Records Act.
- To assure the identification and protection of vital records.
General and Agency Schedules
Agencies should be aware that two types of retention and disposition
schedules may apply to their records. The "General Records Retention
and Disposition Schedule" includes guidelines for record series
maintained by most state agenices. Travel vouchers, meeting minutes,
and employee personnel records are examples of records described in
the "General Schedule."
To address records not listed in the "General Schedule,"each
agency also should have a specific records retention and dispositon
schedule approved by the State Records Board. The "Agency Records
Retention and Disposition Schedule" contains retention and disposition
requirements for record series that are unique to the organization.
Elements of a Schedule
Records retention and disposition schedules include several key pieces
of information about every record series used by an agency:
- Record series title and description
- Minimum retention period
- Final disposition requirements
- Access restrictions
- Vital record identification
These retention and disposition schedule elements are developed through
an analysis of the data gathered during the comprehensive records survey.
Record Series Title and Description
The record series title and description can be taken directly from
the form prepared for the series during the records survey. The title
should clearly identify the record series--"Miscellaneous" is not an
acceptable title--while the description should summarize concisely the
nature and purpose of the series.
Minimum Retention Period and Final Disposition
Records retention and disposition schedules include guidelines establishing
the minimum period that an agency must retain custody of each record
series and the final disposition requirements for the series. The retention
guidelines also may contain recommendations prescribing the period of
time a series should be retained in agency office space and the time
when records should be transferred to the State Records Center.
Records survey data should be evaluated to determine the retention
period best suited to a record series. No record should be destroyed
while it still has significant value. On the other hand, no record should
be retained after its value has been exhausted. Records should be kept
for as long as they are needed and not for as long as they are wanted.
Maintaining records uses valuable resources--only records of value should
be maintained. A typical record will have most of its value immediately
after its receipt or creation. This value generally decreases over time.
In establishing a minimum retention period for a record series, determine
the point at which the record has virtually no value.
Caveat
Approved schedules do not preempt good judgement. If records
are needed for legal or audit purposes beyond the recommended retention
period check with the proper agency authority before destroying the
records.
When determining minimum retention periods and final disposition requirements,
the value of records can be broken down into four categories:
- Administrative value
- Fiscal value
- Legal value
- Historical value
Administrative value relates to how long an agency needs to retain
a record series to meet its own business needs. Administrative value
pertains to the need for records in performing current work as well
as in performing future work.
Records with administrative value can be policy records that document
how an organization functions and how it is organized. Policy records,
which generally have long term or even permanent value, include:
- Policy and procedure manuals
- Directives
- Organizational charts
- Annual reports
- Legal opinions
- Correspondence establishing a course of action for the agency.
Most records with administrative value are not policy records. The
majority are operational records that document the implementation of
an agency's policies. For example, a records disposition form is an
operational record because it implements the policy established by the
retention schedule.
Determining retention periods for records with administrative value
--particularly operational records--is not always easy. Retention can
vary greatly depending upon what the records document. In most cases
the primary administrative value of records will be exhausted when the
transactions to which they relate are completed. As a general rule,
file activity can be used to guide retention requirements for operational
records. When agency staff no longer have need to refer to a record
series, the administrative value diminishes and the records probably
are ready for final disposition.
Records with fiscal value document an agency's financial transactions.
Budgets, ledgers, payrolls, and vouchers are examples of records that
have fiscal value. Retention periods for records with fiscal value are
most often determined by audit requirements.
The legal value of records can take two forms. Some records have intrinsic
legal value because they contain evidence of legally enforceable rights
or obligations of the government. Among records having intrinsic legal
value are
- Documents showing the basis for action (legal decisions, opinions).
- Legal agreements (contracts, titles, leases).
- Records of actions taken in particular cases (claims, dockets).
Records with intrinsic legal value, particularly those that document
the legal rights of citizens, often have enduring value and should be
considered for transfer to the State Archives.
Legal value can also take the form of statutes and regulations--state
and federal--that set legal retention periods for some record series.
Statutory or regulatory requirements for specific records retention
periods are infrequent. Usually statutes and regulations relate to actions
rather than records. Records retention may be inferred, however, by
the need to provide evidence of a particular action. It is imperative
to consider the legal retention requirements of records. It makes retention
scheduling easier and more effective, and it will protect an agency
from litigation resulting from improperly retained records.
Determining the final disposition of a record series requires the consideration
of a final record value--historical value. Even though records may have
lost their administrative, fiscal, and legal value it is possible that
the records still have historical value and for this reason should be
retained. Records that contain authentic evidence of an agency's organization,
function, policies, decisions, procedures, operations, or other activities
have some historical value. These records usually show an agency's origin,
its administrative development, and its present organizational structure.
This type of information may be found in policy records, organizational
documents, memos, correspondence, or reports. Those records that have
been identified as historical records and are not used in the agency's
daily operations should be transferred to the State Archives. Historical
Society staff will work closely with agency personnel in appraising
the historical value of records.
Access Restrictions
A records retention and disposition schedule also contains information
about any access restrictions that apply to a record series. The Kansas
Open Records Act requires most government records to be open to public
inspection. Certain categories of records, however, may be closed. Specific
federal or state statutes and regulations may restrict public access
to certain records. Access restriction information should be available
from records survey forms. Agencies are advised to have their legal
counsel review all access restrictions noted on the retention and disposition
schedule.
Vital Record Identification
The records retention and disposition schedule identifies whether an
agency considers a record series to be a vital record. Information on
whether a record series would be vital to an agency's ability to continue
functioning during a disaster and/or to reestablish operations following
a disaster should be available from the records survey form.
Schedule Approval Process
The schedule approval process in the state of Kansas involves close
cooperation between agency personnel, Historical Society staff, and
the State Records Board.
Once the comprehensive records survey is complete, survey forms should
be submitted to the Records Management Section of the Historical Society.
Records Management Section staff, working with State Archives personnel,
will use the survey data to prepare a draft records retention and disposition
schedule. The draft will be returned to the agency records officer who
will coordinate an internal agency review of the schedule. Agencies
are advised to have their legal counsel carefully examine the schedule
during the internal review to ensure that it addresses all applicable
legal retention requirements and access restrictions. Records Management
Section staff will incorporate into a revised draft of the schedule
all modifications generated by the agency review. The final schedule,
which represents the product of cooperation between agency staff and
the Historical Society, will then be presented to the State Records
Board for consideration at a quarterly meeting. The agency records officer
and other appropriate staff members are encouraged to attend the meeting
to respond to questions that board members may have about the schedule.
In addition, two agency representatives may vote on their agency's proposed
schedule as ad hoc members of the State Records Board. Once the schedule
has been approved, an agency may begin implementation immediately.
Updating the Schedule
Records retention and disposition schedules are dynamic documents.
Government agencies and the records they create naturally evolve over
time. Retention and disposition schedules, if they are to remain effective
tools for managing agency records, must be reevaluated and updated periodically
to reflect structural and functional changes within the organization.
The procedures followed in establishing the agency's original retention
and disposition schedule must be repeated when making additions or revisions
to the schedule.
It is important that any change or addition to a retention schedule
be made promptly and that those persons using the schedule be notified
immediately. Any delay increases the chance of someone relying on an
incorrect schedule.
Implementing the Schedule
The purpose of a retention and disposition schedule is to establish
a pattern for the transfer or destruction of records on a continuing
basis. A schedule is of little value, however, unless it is applied
regularly. If, after an initial house cleaning, the schedule is ignored,
the results will be disappointing and the problem of accumulating unneeded
records will remain unsolved.
Careful timing of the destruction and transfer of records reduces handling
costs both in the agency and in the State Records Center. Records become
ready for destruction or transfer every day of the year; however, to
dispose of them so often would be impractical and inefficient. Experience
has shown that normally records should be destroyed or transferred to
the records center once a year. Deviations from an annual timetable
may be justified if records accumulate so rapidly that more frequent
disposition is necessary. Management support for schedule implementation
is essential to an effective records management program. Agency staff
must be given the time and authority to conduct the recommended annual
evaluation and purge of their records. It is also important that the
records officer provide training to agency personnel to ensure that
all staff members understand schedule implementation procedures.
Summary
A records retention and disposition schedule is an essential tool in
establishing a sound records management program. Establishing and implementing
a State Records Board approved schedule ensures that an agency is in
compliance with all federal and state statutes and regulations concerning
the management, preservation, and disposition of government records.
By regulating the storage and treatment of records during all phases
of the records life cycle, the schedule also allows an agency to more
effectively manage records as a valuable and expensive resource. It
is important to remember, however, that even the very best of records
retention and disposition schedules is useless if it is not systematically
applied to all records listed.
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