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Minnesota Recordkeeping Metadata Standard: Disposal Element

19. DISPOSAL

Definition:

Information about policies and conditions which pertain to or control the authorized disposal of records.

Information about the current retention schedule and disposal actions to which the record is subject.

Purpose:

To advise users of laws, policies, and/or retention schedule that govern the retention or disposal of the record.

To alert recordkeeping staff when disposal actions for records are due.

Rationale: Disposal policies enable agencies to meet their recordkeeping requirements with regard to the retention of records of value (and the disposal of records that no longer have value). This element will assist in disposal management, as well as provide disposal process visibility and accountability through documentation.
Obligation: Mandatory (if there is no current retention schedule for the record, the default values for the sub-elements shall be used).
Applicability: Applicable at the record and/or record series level.
Use Conditions:

Only recordkeeping and auditing staff should have full access to this element.

This element shall be used in conjunction with element 15. MANAGEMENT HISTORY. Due to the nature of many sentences (e.g., "Destroy 10 years after closed"), sub-elements 19.2 Retention Period and 19.4 Disposal Due Date shall be dynamic fields, linked to the relevant sub-elements under element 15. MANAGEMENT HISTORY. Some event/use dates and types which are recorded under sub-elements 15.1 and 15.2 (Event Date/Time and Event Type) shall cause the information in sub-elements 19.2 Retention Period and/or 19.4 Disposal Due Date to be updated. Such event and use types include: "Closed", "Disposal Action Changed", "Disposition Hold Placed", "Disposal Hold Removed", "Retention Period Changed", and "Scheduled".

The date in sub-element 19.4 Disposal Due Date shall be calculated (or recalculated) according to the current sentencing details under sub-element 19.2 Retention Period, and using the date the event was performed or the record used as the starting point for the calculation.

This element shall be linked to elements 12. AGGREGATION LEVEL and 14. RECORD IDENTIFIER.

Repeatable: No

Sub-Elements

(Name,
Obligation,
Schemes):

Name Obligation Schemes
19.1 Retention Schedule Mandatory Minnesota Recordkeeping Metadata Standard, general records retention schedules, agency-specific retention schedules
19.2 Retention Period Mandatory Minnesota Recordkeeping metadata Standard, Free text, agency-defined schemes
19.3 Disposal Action Mandatory Minnesota Recordkeeping Metadata Standard, agency-defined schemes
19.4 Disposal Due Date Mandatory Minnesota Recordkeeping Metadata Standard, ISO 8601 standard for date/time encoding
Comments:

All records within a recordkeeping system require the use of this element at some time in their existence. However, it may not be possible to provide the information required by this element at the creation of a record for a variety of reasons, including the unavailability of a relevant retention schedule and an organizational policy which precludes assigning retention period on creation.

As this element is considered mandatory, the default values for the sub-elements will need to be used until such time as an agency is able to assign the specific values applicable to its own disposal situation. In cases where there is an automated file plan in place (i.e., through a records management system), sub-element values may be system assigned.

19.1 RETENTION SCHEDULE

Definition: Legal documentation issued which authorizes the disposal records.
Purpose:

To provide a visible link between agency records and the disposal action(s) taken on them.

To help ensure that the correct disposal actions are taken on records.

Obligation: Mandatory
Use Conditions:

If there is currently no authorization for the disposal of a record, or if the retention schedule is under development, the default value "Not Scheduled" shall be applied to this sub-element. Records that are not scheduled or are not covered by an approved PR-1 Form (Application for Authority to Dispose of Records) are not authorized for disposal.

If more than one retention requirement applies to a record, the more restrictive one takes precedence.

Assigned Values:

(Value Name,
Definition)

Value Name Definition
Not Scheduled: There is currently no retention schedule in place which covers this record.
Default Value: Not Scheduled.
Repeatable: No
Assigned By:

System-assigned.

Otherwise, it should be possible for an authorized agent, such as the agency Records Manager, to select the correct retention schedule from a pick list of the retention schedules which apply to that agency.

Schemes: Minnesota Recordkeeping Metadata Standard, general records retention schedules, agency-specific retention schedules.
Comments: The value should include the unique identification number that all general and agency-specific retention schedules carry. Disposal of records can only take place under a retention schedule or with an approved PR-1 Form (Application for Authority to Dispose of Records).

19.2 RETENTION PERIOD

Definition: The retention period assigned to a record (e.g., the length of time of the record needs to be kept). This is based on a determination of the record's value and the resulting identification of the specific record series to which it belongs.
Purpose:

To act as a trigger for the authorized disposal of agency records.

To provide a means of determining all records with a particular retention period.

To provide a mechanism for assigning retention period on record creation and for automating the records disposal process.

Obligation: Mandatory
Use Conditions:

If there is currently no authorization for the disposal of a record, or if the retention schedule is under development, the default value "Permanent" shall be applied to this sub-element. Records that are not scheduled carry no retention period and so cannot be disposed of, which in essence, means permanent retention until a retention period is assigned or a related PR-1 Form (Application for Authority to Dispose of Records) is approved.

If more than one retention period applies to a record, the more restrictive (e.g., longer) one takes precedence.

The value in this sub-element determines the date for disposal action under sub-element 19.3 Disposal Due Date. This sub-element reflects the retention period which currently applies to the record. If the retention period is changed, the new retention period will be reflected in this sub-element. The old retention period, and details of reasons for the change, will be recorded under element 15. MANAGEMENT HISTORY, using sub-element 15.2 Event Type, Assigned Value "Retention Period Changed", and sub-element 15.3 Event Description.

Assigned Values:

(Value Name,
Definition)

Value Name Definition
Permanent: The record is of enduring value and will be retained, or there is no assigned retention period nor approved PR-1 Form (Application for Authority to Dispose of Records).
Default Value: Permanent
Repeatable: No
Assigned By:

System-assigned.

Otherwise, it should be possible for an authorized agent, such as the agency Records Manager, to enter the correct retention period.

Schemes: Minnesota Recordkeeping Metadata Standard, free text, agency-defined schemes.
Comments: Disposal of records can only take place under a retention schedule or with an approved PR-1 Form (Application for Authority to Dispose of Records).

19.3 DISPOSAL ACTION

Definition: The action that is taken on the record once the end of its retention period is reached.
Purpose:

To describe the final disposition of records.

To act as a tool for disposal management.

To enable searches for records with similar disposition.

Obligation: Mandatory
Use Conditions:

If there is currently no authorization for the disposal of a record, or if the retention schedule is under development, the default value "To Be Determined" shall be applied to this sub-element. Records that are not scheduled or are not covered by an approved PR-1 Form (Application for Authority to Dispose of Records) must be retained.

The value of this sub-element is changed when sub-element 15.2 Event Type "Disposal Action Changed" is selected; the reason for the change and the old value shall be recorded under sub-element 15.3 Event Description.

Assigned Values:

(Value Name,
Definition)

Value Name Definition
Permanent: The record is of enduring value and will be retained.
Destroy: The record will be destroyed at the end of the retention period.
Transfer to State Archives: The record has archival value and custody will be transferred to the State Archives Department of the Minnesota Historical Society.
To Be Determined: The record is not covered by either a retention schedule nor an approved PR-1 Form (Application for Authority to Dispose of Records), and so no disposal action can be assigned nor taken.
Default Value: To Be Determined
Repeatable?: No
Assigned By?:

System-assigned.

Otherwise, it should be possible for an authorized agent, such as the agency Records Manager, to select the correct disposal action from a pick list or enter another value.

Schemes: Minnesota Recordkeeping Metadata Standard, agency-defined schemes.
Comments:

Other values may include such disposal actions as "Return to Client".

In some agencies, no disposal action can be taken until notification has been given to the Records Manager or another authorized agent, and the action has been approved.

19.4 DISPOSAL DUE DATE

Definition: The date that a record is due for some kind of disposal action, such as transfer or destruction, as specified under sub-element 19.2 Retention Period.
Purpose:

To act as a tool for disposal management.

To enable searches on all records due for some form of disposal action by a given date.

To act as a trigger for the authorized disposal of records.

Obligation: Mandatory
Use Conditions:

If the record is not currently covered by a retention schedule, or has a retention period of "Permanent", this sub-element shall contain a null value.

This sub-element shall be used in conjunction with sub-element 19.2 Retention Period.

This sub-element is a dynamic field, linked to defined Event Types or Use Types under element 15. MANAGEMENT HISTORY. The date value in this sub-element will need to be recalculated each time one of these defined events or uses takes place. For example, in some cases (depending on the retention period) the event "Closed" under sub-element 15.2 Event Type will cause the date value in this sub-element to be calculated from the date of closure (as recorded in sub-element 15.1 Event Date/Time).

Each time 15.2 Event Type "Disposition Hold Placed" is selected, the current value of this sub-element is replaced with "Null" either automatically or by agent action. Such records cannot have another disposal due date assigned until the disposition hold is lifted (event "Disposition Hold Removed").

Assigned Values:

(Value Name,
Definition)

Value Name Definition
Null: The record is permanent, no value (date) has yet been specified, or a disposition hold has been placed on the record.
Default Value: Null
Repeatable: No
Assigned By: System-assigned based on the retention period applied under sub-element 19.2 and calculated from the date of a specific (agency-defined) event (e.g., the date the record was created or the record series is closed).
Schemes: Minnesota Recordkeeping Metadata Standard, ISO 8601 standard for date/time encoding.
Comments:

It may be possible to provide a system alarm or reminder which alerts authorized agents to impending disposal actions at some (agency defined) time period before those actions are to take place.

Once a disposition hold is removed, the value for this sub-element just prior to the hold should be reinstated or another value chosen by an authorized agent.

DISPOSAL Examples

19.1 Retention Schedule 79-402, item 2
19.2 Retention Period 10 years
19.3 Disposal Action Destroy
19.4 Disposal Due Date 2012-06-10 Scheme: ISO 8601

19.1 Retention Schedule Not Scheduled
19.2 Retention Period Permanent
19.3 Disposal Action To Be Determined
19.4 Disposal Due Date Null

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