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Disposition Overview 1. This document sets out what you should
do if you want to dispose of information
filed in the AAPS filing system. 2. Disposition refers to the
actions that are taken when records are no longer
needed to support on-going activities. For Policy and Planning,
disposition actions are either destroy or transfer to archive.
3. Figure 1 gives an overview of the process. The process is
then described in greater detail in the remainder of this
document.
Want to dispose ofinformation filed inthe filing system
Who is the ownerof the folder that
contains theinformation?
Contact the CRRDon't know
Is the informationon the list of
material that maybe destroyed byfolder owners?
You
Someone else
See Table 1 formethods ofdestruction
Do you know theretention periodfor the folder?
Contact the CRRNo
No
Is this retentionperiod still
appropriate?
Yes
What changes arerequired?No
Confirm disposalat next disposition
event
Yes
Yes
Figure 1: Overview Identify the owner of the folder (step 1) 4.
Only folder owners can authorise the destruction of a folder.
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5. If you do not know who is the folder owner ask the Central
Records Registry (CRR), [email protected]. You will need
to know the folder title and reference number.
6. If you are the folder owner, go to step 2. 7. If you are not
the folder owner you do not have the authority to destroy
information in the folder. If you feel that there is a good
reason why the information should be destroyed contact the CRR
explaining what you think should be destroyed and why. The CRR will
contact the folder owner to discuss whether this is
appropriate.
Destroying drafts and working papers (step 2) 8. Does the
information you wish to destroy fall into any of the following
categories:
a. A superseded draft document in an electronic folder? For
example an earlier draft of a policy that has now been
finalised.
b. An earlier version of an electronic document? For example an
earlier version of internal procedures.
c. Working notes placed on a folder to help you as you work on
the activity, but not needed to be kept? For example as you work on
an activity you might add a to do list to the folder to help you
know where you have got up to.
d. A duplicate of a document already on the folder? For example
a photocopy of a circular letter when the original is already on
the folder.
e. Draft minutes or hand written notes from a meeting when the
minutes have been written up and approved?
9. If so, go to step 3 for the procedures on destroying this
type of information. 10. If the information you wish to destroy
does not fall into these categories go to step
4. 11. Please do not weed folders except in these limited cases;
weeding is not an
effective use of your time.
Destroying information (step 3) 12. If you are the folder owner
and if the information you wish to destroy falls into one
of the categories in paragraph 7 you may destroy it using the
appropriate destruction method detailed in table 1 below.
Table 1: Destroying information
Type of material Destruction method Sensitive paper documents
Use the shredder on the 3rd floor Non-sensitive paper documents
Place in the paper recycling bins Electronic documents on shared
drives Delete the document and empty the
deleted items folder / recycle bin Electronic documents on CD,
floppy disk or memory stick
Delete the document and (if required) reuse the storage device.
Physically
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destroy the storage device at the end of its active life, for
guidance on how to do so, contact MIS.
Identify the retention period (step 4) 13. Check the retention
period, if you do not know what it is, ask the CRR,
[email protected]. 14. If the current period is still
appropriate go to paragraph 15 for details of what you
will be asked to do when the folder is due for destruction.
Otherwise consider what changes you would like to make.
15. To work out what changes are required to a retention period
consult the retention
scheduling guidance
(http://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/RetentionSchedules/RetentionSchedules.htm).
Consider whether a different retention period, trigger event or
disposal action is required. When you have decided what changes you
want to make contact the CRR, [email protected].
Folders due for disposition 16. When a folder has reached the
end of its retention period and is due for
disposition the CRR will contact the folder owner to confirm
that the folder can be destroyed or transferred to the University
Archive. The CRR will implement disposition actions once a year.
Shortly before each disposition event the CRR will contact folder
owners with a list of their folders which are due for
destruction/transfer to archive. The annual disposition event will
usually take place in September. This means that we will contact
folder owners in July.
17. When you receive the list you should check through it and
ask yourself:
a. Are you still the folder owner, i.e. the person responsible
for the activity recorded on the folder? If not who is?
b. Are you happy for the retention recommendations to be
implemented? c. Is there any reason why any of the folders should
be kept longer? If so why? d. Do you think anyone else should be
consulted regarding the disposition of the
folders? For example is there someone else who has a
responsibility for or involvement in the folder activity? If so
who?
18. Once you have checked through the list return it to the CRR.
For each folder
confirm that you are the folder owner, or say who the current
folder owner is. If you are the folder owner a. Confirm that the
disposition action can be implemented, or b. Explain why the
disposition action should not yet be implemented and
recommend a new retention period (for guidance see the
procedures for identifying retention periods
http://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/AAPS/RetentionSchedules/RetentionSchedules.htm),
and
c. Tell the CRR if anyone else needs to be consulted.
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Anne Thompson February 2006
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