Property Control System Manual (PCS)

Effective: 4/30/1990

Revised: 7/1/2012

[ASU]

PCS 703: Records Storage and Destruction

Purpose

To establish and maintain an active and continuing program for the economical and efficient storage of records

Sources

Arizona Revised Statutes § 41–1346
University policy

Policy

The department head shall:

  1. establish and maintain an active and continuing program for the efficient management of the department’s records
  2. make and maintain records containing adequate and proper documentation of the department’s functions, policies, decisions, procedures, and essential transactions

    and

  3. develop, in cooperation with the university archivist, schedules proposing the length of time each public and vital record series warrants retention for administrative, legal, fiscal, or historical purposes. Records may be stored at the department; the ASU Surplus Property warehouse; or the Arizona Department of Library, Archives and Public Records (ADLAPR) storage facility. ASU Surplus Property coordinates records storage at both the ASU Surplus Property warehouse and the ADLAPR facility.

All records made or received by employees of the university in the course of their employment are the property of the university. Records shall not be destroyed or disposed of unless the university archivist and ADLAPR have determined that the records have no further legal, fiscal, research, or other value or their retention dates have expired. This determination is obtained by a university department completing a Records Retention and Disposition Schedule (RRDS) and having that schedule approved by the university archivist and the ADLAPR. Generic RRDS covering records common to most offices have been approved for use by any ASU department.

Occasionally, the Office of General Counsel may issue a Notice to Preserve Evidence to the academic unit or to specific employees within the academic unit because of claims or threatened litigation. Such notices to preserve evidence take precedence over the academic unit’s existing schedule for record retention and destruction. Any questions should be directed to the Office of General Counsel.


Records Storage

ASU Surplus Property is responsible for coordinating the university records management process with the university archivist and the ADLAPR. ASU Surplus Property also arranges for record storage at the ASU Surplus Property warehouse located at University and Price in Tempe.

Note: Certain university departments have arranged to use the ADLAPR storage facilities rather than ASU Surplus Property. For ADLAPR storage, follow the procedures in the Arizona State Records Management Manual, available from ADLAPR.

Any departmental records to be stored at ASU Surplus Property must be stored in storage boxes approved by the university archivist. These boxes are available through Corporate Express, order #FEL0073. Any records received by ASU Surplus Property warehouse or ADLAPR that are not described on the department’s RRDS will be returned to the university department.

ProceduresD


Records Retention and Disposition Schedule Approval


Responsibility
Action
Originating department
  1. Compare existing departmental records with those described in the generic ASU Records Retention and Disposition Schedule (RRDS) forms for administrative records and student records.
    Note: Most university departmental records can be destroyed after their total retention period has expired.

    A departmental RRDS must be completed and approved for temporary storage or destruction of records not listed in the generic ASU RRDS, unless special destruction approval has been given by the Arizona Department of Library, Archives and Public Records (ADLAPR). (See the procedure “Destruction of Records Not on Approved Schedules.”)

  2. Complete an RRDS and a Records Retention and Disposition Schedule Approval Form and send them to the university archivist.
    Note: Blank RRDS and approval forms can be obtained from University Archives.
University archivist
  1. Review the RRDS for appropriate retention periods, negotiate revisions with the originating department, obtain necessary approvals, and forward the form to the ADLAPR.
Arizona Department of Library, Archives and Public Records (ADLAPR)
  1. Review the RRDS.
If the RRDS is not approved:
  1. Return the form to the university archivist with an explanation of the deficiency. The university archivist will contact the originating department and negotiate revisions. The revised RRDS will be submitted to ADLAPR by the university archivist.
If the RRDS is approved, send an approved copy to the university archivist.
University archivist
  1. Forward one copy each to the originating department and ASU Surplus Property. File a copy of the approved RRDS for future reference.
Originating department
and
ASU Surplus Property
  1. File the approved copy of the RRDS form in a secure area for future reference.


Temporary Records Storage


Responsibility
Action
Originating department
  1. Determine which records are to be sent to storage through periodic review of the approved Records Retention and Disposition Schedule (RRDS) and departmental files.
    Note: Any record to be stored must meet the following criteria:
    1. The record descriptions must be included on the approved records retention schedules.
    2. The records must be inactive.
    3. There must be an assigned destruction date for the records. The destruction date is set at the expiration of the retention period.
  1. Fill the box snugly, but do not overfill it. Leave about 1 1/2 inches of space in the box to facilitate servicing; leave more space if large amounts of later interfiling are foreseen.

    When packing records into storage boxes, note the following comments:

    1. The standard Records Center box must be used, stock #FEL0073.
    2. Mark the outside of the box with the department name as it appears on the RRDS form. Number the boxes sequentially (e.g., Box 1, Box 2, etc.) for each shipment to ASU Surplus Property.
    3. Avoid mixing records with widely scattered document dates in the same box, since the retention period begins with the most recent document date.
    4. Records are packed in the containers in the same sequential order as was maintained in the active office files. Keep labels, serial numbers, indexes, and file dividers upward.
  1. Complete a Records Center Storage transmittal form for each box of records. This form is available from ASU Stores, stock # FM 780000. Complete the form as follows:
    1. Enter the box numbers in the “Agency Box Number” blank on each form.
    2. Enter the name of the originating department in the “Agency Name” blank of the form, the name of the record, series, and the from and through dates covered by the records. The name of the originating department and record series must agree exactly with the name given on the RRDS form.
  1. Secure the completed Records Center Storage transmittal forms in a large single envelope and place with Box 1. Do not place individual transmittals in the related boxes.
  2. Complete a portion of a Property Relocation Authorization form and send it to ASU Surplus Property. The form may be sent by campus mail to mail code 0508 or sent by fax, 480/965–8519.
ASU Surplus Property
  1. Arrange for records pickup.
  2. Verify that the records received are in agreement with the approved record retention schedule. Return all records not in agreement.
ASU Surplus Property /Arizona Department of Library, Archives and Public Records
  1. Assign a Records Center location number.
  2. Record the Records Center location number on the original copy of the Records Center Storage transmittal form, photocopy, and return the original copy to the originating department.
Originating department
  1. File the Records Center Storage transmittal form copy in a secure location. The Records Center location number must be furnished by the university department when requesting records from the Records Center.


Requesting Records from the Record Center


Responsibility
Action
Originating department
  1. Send an e-mail to Surplus-Q@asu.edu to request boxes that need to be returned to the originating department. Include the Records Center location number and box number(s).
    Note: The Records Center location can be obtained from the previously returned Records Center Storage transmittal form.
ASU Surplus Property
  1. Process the retrieval request.
  2. Retrieve the records from the appropriate storage facility and deliver retrieved documents to the requesting university department.
Originating department
  1. Perform procedures necessary for the retrieved documentation.
  2. Upon completion of procedures for the retrieved documents, arrange to have the documents returned to ASU Surplus Property by sending an e-mail to Surplus-Q@asu.edu.
ASU Surplus Property
  1. Arrange for records pickup from the originating department for refiling.

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Records Destruction

Authorizations for destruction of records are of two types:

  1. authorization to destroy records on approved retention and disposition schedules

    and

  2. authorization to destroy records not on approved retention and disposition schedules (see “Destruction of Records Not on Approved Schedules”).

Records on Approved Schedules

A retention and disposition schedule approved by ADLAPR acts as a continuing authority to destroy the listed records at the end of the scheduled retention. With an approved schedule, a department may destroy listed records without further approval; however, destruction must be reported to ADLAPR after it has taken place. Specific instructions are listed below.

Note: These schedules do not preempt good judgment. If records need to be retained for legal or audit purposes, they shall be retained until the usefulness of the records has been satisfied. Report of Records Disposition forms are available from University Archives.

Inactive records that do not have authorized record center retention periods in their RRDS may be destroyed at the originating department or may be sent directly to ASU Surplus Property for destruction.

Without further action on the part of the university departments, ASU Surplus Property destroys inactive records upon expiration of their scheduled retention period. University departments are notified of records destruction after it has been completed. University departments are responsible for notifying ASU Surplus Property if records in its custody should not be destroyed because of pending litigation or other valid circumstances.


Destruction of Inactive Records Maintained in University Departments D


Responsibility
Action
Originating department
  1. Review the current, approved Records Retention and Disposition Schedule (RRDS) and determine which records may be destroyed.
  2. Obtain a blank Report of Records Disposition form from University Archives.
  3. Complete the Report of Records Disposition form as directed below:
    1. Enter Arizona State University as the “Agency Name” and the department name as listed in the RRDS in the “Originating Unit” blank.
    2. Enter the record series title exactly as it appears in the RRDS form, the inclusive dates of the records, and the estimated volume in cubic feet (one file drawer is approximately two cubic feet).
    3. Enter the approval date from the RRDS (stamped in the bottom right hand corner) in the “Authority” blank at the top right hand corner of the destruction form.
    4. Complete the “Certificate” section at the bottom of the form when destruction has been completed.
    5. Mail the yellow copy of the form to the Arizona Department of Library, Archives and Public Records at the address provided on the form.
    6. File the blue copy of the form in the department files and retain it for two years after the fiscal year of destruction.


Sending Inactive Records to Surplus Property for Destruction


Responsibility
Action
Originating department
  1. Review the current, approved Records Retention and Disposition Schedule (RRDS) and determine which records may be destroyed.
  2. Obtain a blank Report of Records Disposition form from University Archives.
  3. Complete the form following the directions below:
    1. Enter Arizona State University as the “Agency Name” and the department name as listed in the RRDS in the “Originating Unit” blank.
    2. Enter the record series title exactly as it appears in the RRDS form, the inclusive dates of the records, and the estimated volume in cubic feet (one file drawer is approximately 2 cubic feet).
    3. Enter the approval date from the RRDS (stamped in the bottom right hand corner) in the “Authority” blank at the top right hand corner of the destruction form.
    4. Sign and date the form in the blank space below the record series descriptions to certify that the records in the boxes are those described on the form. Do not complete the “Certificate” section at this time.
  1. Complete a portion of a Property Relocation Authorization form and send it to ASU Surplus Property. The form may be sent by campus mail to mail code 0508 or sent by fax, 480/965–8519.
ASU Surplus Property
  1. Contact the university department to arrange for pickup of the completed Certificate of Destruction form and records to be destroyed.
  2. Verify that the completed Certificate of Destruction form is attached to the records to be disposed.
  3. Pick up the completed Certificate of Destruction form and records to be disposed.
  4. Arrange for record destruction.
  5. Complete the lower section on the Certificate of Destruction form and send the top copy to the Arizona Department of Library, Archives and Public Records. Retain the second copy for two years after the fiscal year of destruction.


Destruction of Records Maintained in Surplus Property Warehouse


Responsibility
Action
ASU Surplus Property
and
University archivist
  1. Review the Records Center Storage transmittal forms to determine which records may be destroyed.
ASU Surplus Property
  1. Complete the “Records Disposed Of” section of the Certificate of Destruction form.
  2. Arrange for record destruction.
  3. Complete the lower section of the Certificate of Destruction form, photocopy it, and send the top copy to the Arizona Department of Library, Archives and Public Records. Attach the Records Center Storage transmittal forms for destroyed materials to the second copy of the Certificate of Destruction.
  4. Send the second copy and attached forms to the respective university department.
  5. Retain the Certificate of Destruction copy for two years after the fiscal year of destruction.


Destruction of Records Not on Approved Schedules


Responsibility
Action
Originating department
  1. Determine which records are to be destroyed.
  2. Obtain a blank Single Request Certificate of Destruction form from University Archives.
  3. Complete the “Records Disposed Of” section of the Single Request Certificate of Destruction form, retain the third copy, and forward the document to the university archivist.
University archivist
  1. Review the Single Request Certificate of Destruction form for correctness. Interact with the university department as required.
  2. Indicate preliminary approval of record disposition by noting approval to the far right side of the Single Request Certificate of Destruction form.
  3. Forward the Single Request Certificate of Destruction form to the Arizona Department of Library, Archives and Public Records (ADLAPR).
Arizona Department of Library, Archives and Public Records
  1. Review the Single Request Certificate of Destruction form for correctness. Interact with the university archivist as required.
  2. Return the approved form to the university archivist.
University archivist
  1. Return the approved Single Request Certificate of Destruction form to the university department with a notation instructing the university department to contact ASU Surplus Property when the records are ready to be picked up.
Originating department
  1. Complete a portion of a Property Relocation Authorization form and send it to ASU Surplus Property. The form may be sent by campus mail to mail code 0508, or sent by fax, 480/965–8519.
  2. Attach the completed and approved Single Request Certificate of Destruction form to the records to be destroyed.
ASU Surplus Property
  1. Verify that the approved Single Request Certificate of Destruction form has been signed and approved by ADLAPR and that it is attached to the records to be destroyed.
  2. Pick up the Single Request Certificate of Destruction form and records to be destroyed.
  3. Arrange for record destruction within 60 days of approval date.
  4. Complete the lower section on the Single Request Certificate of Destruction form and send the top copy to ADLAPR. Return the second copy to the university department.
University department
  1. Retain the second copy of the Single Request Certificate of Destruction form for two years.

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