Records Disposal Procedures

• Transfer of Records
• Destruction of Records
• Certificate of Records Disposal

Using the Approved Records Retention Schedule for your department or office, identify those records that are to be eliminated from your files and will be transferred to the University Archives or destroyed.   Complete a Certificate of Records Disposal each time records are disposed.

No records may be disposed by any means without an approved Records Retention Schedule.

No records may be disposed when there is an order or notice for legal discovery or subpoena, regardless of the retention assigned to the item. Records subject to discovery must be maintained in the office of record until released by the court.

The Ohio Revised Code addresses the destruction of records:

[§ 149.35.1] § 149.351. Prohibition against destruction or damage of records.

A) All records are the property of the public office concerned and shall not be removed, destroyed, mutilated, transferred, or otherwise damaged or disposed of, in whole or in part, except as provided by law or under the rules adopted by the records commissions provided for under sections 149.38 to 149.42 of the Revised Code or under the records programs established by the boards of trustees of state-supported institutions of higher education under section 149.33 of the Revised Code. Such records shall be delivered by outgoing officials and employees to their successors and shall not be otherwise removed, transferred, or destroyed unlawfully.

Transfer of Records to the University Archives

1. Keeping the material in file order, place it in record cartons.  
   
2. Number the boxes in order.
   
3. Complete the Certificate of Disposal and fax to Records Management (6-2113) or send with the collection.
   
4. Telephone the Archives and indicate the type of materials for transfer and the number of boxes.
   
5. Contact Facilities Management to arrange the transfer of the materials to the University Archives. Please telephone or email the Archives when the transfer is scheduled.
   
6. Upon receipt, the Archives staff will assign an accession number to each group of materials.   This number will consist of three parts: the initials of the University Archives (UA), the year of accession, and the number of the accession as it is received in consecutive order for that year.   For example, the 18th accession received in 1992 will have an accession number UA-92-18. The Archives will inventory the collection and the originating office will receive notification of receipt of the material in the form of a copy of the inventory with accession number.

Destruction of Records

Records scheduled for destruction should be shredded.   The Archives will not physically dispose of records, but will assist in identifying shredding equipment or outside sources to be used.

Certificates of Records Disposal are completed for records which schedules indicate are to be destroyed or transferred to the University Archives.   They are completed at the time of destruction or transfer by departmental records personnel.   Certificates are completed each time records are disposed.

The Designated Records Officer will send the completed Certificate of Disposal to the University Archives (via campus mail: M.L. 0113; fax 6-2113; or email: Janice.Schulz@uc.edu). The University Records Manager will review, sign, and return the form to its originator.   A copy is maintained in the files of the University Records Management Program for the Department.