OHS - State Archives - LGR Handbook -- Scheduling and Disposing of Records

LGR Handbook -- Scheduling and Disposing of Records

These steps provide a simple and efficient method for managing government records.

1. Activate Records Commission.
Local records commissions are governed by Ohio Revised Code sections 149.38(county) , 149.39 (municipal corporation), 149.41 (school district), and 149.42 (township). These sections require that county and municipal records commissions meet at least once every six months and that township and school district records commissions meet at least once every year. Refer to the appropriate code sections to activate your records commission and establish a records retention and disposal program.

2. Designate a Records Officer in Each Department.
It is most effective if a single person in each department is responsible for all aspects of records retention and disposition within that department. The person designated may be the department head or an assistant; whoever is designated should be familiar with all the responsibilities of the department and the records it creates and maintains.

3. Conduct a Complete Records Inventory. (pdf)
An inventory of the entire records holding of all offices and agencies is the essential first step in creating a sound records program. Inventory all records that come under the definition of "record" in Ohio Revised Code section 149.011(G). The main purpose of the inventory is to identify and describe the records series maintained by each office. A record series is defined as a sequence of records systematically classified and filed or as a group of records created for a specific activity or function. Some examples of records series are vouchers, receipts, minutes, correspondence files, or personnel files. For each record series, the inventory should include its office of origin, location, information content, inclusive dates, quantity (in cubic feet), frequency of use, and purpose.

Begin the records inventory in office areas, where the records are familiar to staff members. After the inventory of office records, those records in storage areas should be easier to identify. Use one inventory form for each record series in each location. Note location not only by room, but also by storage unit (file cabinet, shelf, or box). A simple sketch of each room, giving the location of records storage units, eases this task. The completed inventory provides a ready guide to the locations of those records that are going to be destroyed and those that will be retained.

4. Determine a Retention Period for Records Created by Each Department.
A retention period, the length of time records are kept, is determined by assessing four values for each record series: administrative, legal, fiscal, and historical.

A record has administrative value if it is used by the office or agency to carry out its duties. Administrative Value is based on how often and for how long the record is used by office personnel and whether a program would be jeopardized upon disposal of the record. Retain records as long as they have administrative value.

A record has legal value if it documents or protects the rights or obligations of citizens or of the agency that created it. Retain records having legal value until all the legal rights or obligations expire.

A record has fiscal value if it pertains to the receipt, transfer, payment, adjustment or encumbrance of funds, or if it is required for an audit. Retain records as long as they have fiscal value.

A record has historical value if it documents an agency's organization, policies, decisions, procedures, operations, or other activities; or if it contains significant information about people, places, or events. Retain historical records permanently.

Retention periods are determined and expressed in one of three ways:

In terms of time (e.g., "retain four years" or "retain permanently").
In terms of an event or action (e.g., "retain until audited" or "retain until case closed").
In terms of both (e.g., "retain six months after audit" or "retain three years after case closed")

A retention period may be subdivided: "Retain in office five years, then retain in storage area for five more years, then destroy."

Every office or agency has records with "permanent" retention period, meaning the permanent preservation of the information in the records. Local governments have four options for retaining permanent records:

Original records may be retained in office or storage areas.
Records may be reproduced on archival quality microfilm and maintained only on microfilm.
Records may be stored in an archives or records center established by the local government.
Records may be transferred to a designated local government records depository in the Ohio Network of American History Research Centers.

Records transferred to a network center are arranged, cataloged, and made available to the public for inspection under the terms of section 149.43 Ohio Revised Code.

For assistance in determining record retention periods, consult the following guides: The Ohio County Records Manual (Rev. Ed., 1998); the Ohio Municipal Records Manual (Rev. Ed., 1998); or the Auditor of State's Circular No. 81-8, "Guidelines for Records Retention and Disposition by School Districts," (12-31-81). Staff members from the Ohio Historical Society's Local Government Records Program are also available to consult with officials.

5. Prepare Retention and Disposal Lists.
Local government records may be destroyed or transferred only in accordance with sections 149.351, 149.38 (counties), 149.39 (municipal corporations), 149.41 (school districts), and 149.42 (townships) of the Ohio Revised Code. Such action involves the preparation of either a schedule of records retention and disposition or an application for one-time records disposal. These forms may be obtained from the appropriate regional network center or by contacting the Ohio Historical Society, Archives/Library Division.

A schedule of records retention and disposition(pdf) specifies the period of time each record series will be retained by the agency, and provides continuing authority for disposition of the record at the expiration of the stated retention period. Correspondence and canceled checks are examples of records to include on a retention schedule because they are continuously being accumulated.

Once the retention periods listed on the schedule have been approved by all authorities (see steps 6 and 7 below), records may be disposed of in accordance with the schedule without seeking new authorization for each disposal. The office or agency simply files a certificate of records disposal (see step 9 below), documenting the date and method of disposal.

If an office or agency later wishes to amend a schedule (for example, by adding or deleting a record series), any such amendments must be approved by all authorities, as in steps 6 or 7 below.

An application for a one-time records disposal (pdf) is used to request permission to destroy or transfer particular records covering only specified dates. It is frequently used to dispose of obsolete records, those no longer created or maintained by the office. Unlike the continuing authority provided by a schedule, an application provides only for the disposal of those records specifically listed and dated (see steps 6 and 7 below).

6. Submit Schedules or Applications to Records Commission.
Following approval by the department or agency heads, schedules of record retention and disposition or applications of one-time records disposal are submitted to the Local Records Commission (county, municipal, township, or school district) for approval or amendment. Provide the commission with the original and two copies of each form, and retain a third copy in the office until an approved copy is returned.

7. Obtain Approval from Auditor of State or Ohio Historical Society Prior to Records Disposal.
Sections 149.38, 149.39, 149.41, and 149.42 of the Ohio Revised Code prohibit any local government office from disposing of any public records without the approval of the Bureau of Inspection and Supervision of Public Offices of the Auditor of State and the Ohio Historical Society. Each of these agencies is allowed 60 days to review records before disposal. (Charter counties or cities should follow their own records legislation or consult their legal counsel about this procedure.)

The Ohio Historical Society and the Bureau of Inspection and Supervision or Public Office of the Auditor of State have each designated staff members to review these forms. Contract the Local Records Program at the Ohio Historical Society, the appropriate Network Center, or the District Audit Manager of the Auditor of State's office for a list of addresses.

8. Dispose of Records in Accordance with Approved Schedules or Applications.
Once all appropriate authorities have reviewed and approved the various retention and disposal documents, destroy or transfer records when they reach the end of their assigned retention period.

9. Prepare a Certificate of Records Disposal.(pdf)
Once records have been destroyed or transferred, a certificate of records disposal should be prepared and copies forwarded to the local records commission, the Ohio Historical Society, and the District Audit Manager of the Auditor of State's office. The certificate of records disposal serves as the official record of the actual disposal.

10. Maintain a Central File of All Documents.
A central file serves as the official record of all actions taken by the records commission. The file should include copies of all schedules, applications, and certificates of records disposal approved or received by the commission. Schedule these documents, along with the minutes of the commission's meetings, for permanent retention. Each department should also maintain copies of retention schedules, one-time applications, and certificates of disposal pertaining to its own records.