Records management must be an ongoing process.  As the records created and maintained in an agency change, the agency's Records Retention Schedule must be updated.  The purpose of the following sections is to provide a guide for the continued maintenance of the agency's records management program.

Subtopics

  1. Annual Records Disposal
  2. Adding Record Series
  3. Deleting Record Series
  4. Changing Record Series
  5. Procedure for One-Time or Early Disposal of Records

1. Annual Records Disposal

Your agency must complete an annual disposal of obsolete records in compliance with the retention periods established on the Records Retention Schedule.  The records coordinator will receive an email notification when the annual records disposal process is initiated through the Records Management System (RMS).  Dispose of records according to the disposal instructions for each record series retained in your agency.

The records disposal process constitutes approval from the Records Management Task Force for the disposition of all records for the years indicated in the "To Dispose" column.  Your agency is responsible to comply with the Records Management Program by disposing of records that have satisfied their retention requirements on an annual basis.

Records may only be disposed in the manner stipulated for each record series as part of the records disposal process.  Records that are not confidential may be disposed by landfill - basically by just throwing the record in the garbage or recycling container.  Confidential records must be shredded.  Records identified as archival must be transferred to the State Archives following the procedures outlined in the Procedure to Transfer Records to the State Archives.

Record series must not be disposed prior to the time approved by the Records Management Task Force.  If a situation warrants early disposal of a record, the Procedure for One-Time or Early Disposal of Records must be followed.

Records involved in an ongoing audit, litigation, or investigation must not be destroyed until the matter is resolved.  See Destruction Hold Procedure

2. Adding Record Series

A record series may need to be added to a Records Retention Schedule because:

  1. A new program or function may be added to the agency's responsibilities resulting in a new record series being created.
  2. A function or responsibility may be transferred from one agency to another as a result of administrative or legal changes.
  3. A record series may have been missed during the development of the original Records Retention Schedule.

Steps to add a record series to the existing Records Retention Schedule are stated below.

  1. Fill in all fields on a Record Series service request in ITD's Work Management System (WMS) and submit.
  2. The Records Management Task Force will determine the legal, audit, and historical values.
  3. The records coordinator will receive an email notification to review and approve the record series with the Task Force values and total retention period.
  4. The information management analyst will finalize the record series and it will be added to the Records Retention Schedule.  The new record series will be included on the list for the next records disposal process.

3. Deleting Record Series

A record series will need to be deleted from a Records Retention Schedule when those records are no longer found in the agency.  There are at least three instances when this may occur:

  1. The division/program/function that created the record has been transferred to another state agency.
  2. The record series is no longer created and all existing records have been destroyed after meeting their approved records retention period.
  3. The record series is no longer created and has been transferred to the State Archives for historical preservation.

Steps to delete a record series from the existing Records Retention Schedule are stated below.

  1. Fill in the following fields on a Record Series service request in ITD's Work Management System (WMS) and submit:
    1. Records Management Division number
    2. Record Control Number
    3. Record Series Title
    4. Comments/Special Instructions: Include an explanation as to why the record series is being deleted
  2. The information management analyst will finalize the record series and it will be made inactive in the Records Management System (RMS).  The record series will not be included on the list for the next records disposal process.

4. Changing Record Series

A record series will need to be updated when any of the following information changes:

  1. The title or description.
  2. The administrative, legal, audit, or historical values.
  3. The record becomes or is no longer confidential.
  4. The record is transferred to another division within the agency.

Steps to change a record series on the existing Records Retention Schedule are stated below.

  1. Fill in the following fields on a Record Series service request in ITD's Work Management System (WMS) and submit:
    1. Records Management Division Number
    2. Record Control Number
    3. Record Series Title
    4. Any other fields that require changes
    5. Comments/Special Instructions: Summarize the changes to the record series
  2. The Records Management Task Force will determine the legal, audit, and historical values.
  3. The records coordinator will receive an email notification to review and approve the record series with the Task Force values and total retention period.
  4. The information management analyst will finalize the record series and it will be updated in the Records Management System (RMS).

5. Procedure for One-Time or Early Disposal of Records

A request for a one-time disposal of records will be necessary when records are not currently covered on a records retention schedule and maintained in the agency, but are no longer being created or received as part of a business function.  These records will not be added to the Records Retention Schedule.

Early disposal of records may occur as a result of the early completion of an audit.  If your office has been audited, and the record series in question has been reviewed and released by the auditor, you may request early disposal of that record series. 

A request for a one-time or early disposal may be done by completing the Records Disposal Request (SFN 2044) which may be obtained from ITD Records Management or the North Dakota eforms website under ITD Internal Forms.  The steps to request a one-time or early disposal are listed below.

  1. The agency completes the following areas of the Records Disposal Request and sends it to ITD Records Management:
    1. Department, division, date, address, city, state, zip code, name, title, and telephone number.
    2. The size and volume of the records to be disposed.  Estimate the linear inches (thickness of the records being disposed) and enter the volume below the size of the records (Letter size, legal size, or other).  If the documents being disposed are a size other than letter or legal size, please indicate the size in inches (3" X 5", 11" X 15").  As an example of a linear inch measurement: one full file drawer contains 25 linear inches of records.
    3. Mark “One-Time Disposal/Transfer” or “Early Disposal/Transfer” for the Type of Disposal.
    4. For an early disposal, enter the record control number from the Records Retention Schedule, the title of the records series being disposed, the inclusive dates of the record series, and the total retention period for the record.  This step must be repeated for each record series.  "Inclusive years" are the earliest date of the records to be disposed through the last date of the records to be disposed (example: 2010-2012).
    5. For a one-time disposal, enter the title of the records series being disposed and the inclusive dates of the record series.  This step must be repeated for each record series.
    6. Explain in the area beneath each record title why you are requesting disposal of that record series.
  2. ITD Records Management will assign a request control number and obtain approval from the Records Management Task Force using the Records Disposal Authorization (see SFN 2045 Sample).
  3. ITD Records Management will return the Records Disposal Request and Authorization to the agency.
  4. The agency will then destroy/transfer the records approved for disposal.  This disposition must be done in the approved manner and must be certified by the person disposing of the documents.  If any records are to be transferred to the State Archives, the Records Disposal Request and the Records Disposal Authorization must accompany the documents being transferred.
  5. When the Certificate of Disposal and Certificate of Transfer sections have been completed (upon disposal or transfer of the records), the agency must detach and file the pink copy from both the Records Disposal Request and the Records Disposal Authorization.
  6. The agency must send the remaining copies of all pages of the Records Disposal Request and Records Disposal Authorization to ITD Records Management.
  7. ITD Records Management will retain a copy of the request and authorization forms in its files.  The State Archivist will also receive a copy of the request and authorization forms.