Reviewing Records for Destruction

Do you have any tips on reviewing records for destruction?

Question was recently asked by an administrator during a review of their department’s filing system.

Response:

While an organization may have a good records management program on paper, with all the proper policies and procedures, there usually is something missing in the process; the lack of consistent and timely reviews of records past their retention period. I am sure that many of you can relate to this problem. As I have stated in previous articles, this is not unique to any one organization, private or public. Without a systematic approach and staff assigned and trained to manage the program your records will not be reviewed regularly.

Here are a few things that I have found that work effectively with any records review:

 If you have an existing records management database you can create a listing of records that are due for destruction for each client or department within your organization. Annotate those that may be over-due for review. If you suspect an error in the retention period, write a comment on the index that the record may require additional retention.
 If you use an outside vendor to manage your business records they probably have the ability to create listings of records due for destruction. The major vendors in my area have electronic systems that allow the customer to create and publish listings based on criteria established by the customer. Vendors will also create reports to your specifications for a fee.
 If your lists of records transferred to storage (transmittals) are in paper mode only, start by reviewing the transfer notices of the oldest boxes in storage to insure the information on the transmittal accurately describes the records within the boxes. I have found over the years that not all records shipped to storage were accurately described. I have encountered transfer notices that did not include the dates of the records within the boxes. Box contents on the transfer notices simply labeled “Projects”. Each box with missing or misleading information will require individual inspection to determine the contents and see if they can be destroyed or re-indexed with the proper information to identify the contents.
 As Ellie’s father said in the movie ‘Contact’; “Small moves Ellie, small moves”. The same goes with a records cleanup. Hopefully the client will review the listing and approve the destruction of the records. However, if you cannot get an approval of destruction of the collection, arrange to review them in small amounts. You will have a better chance of getting the cooperation of the reviewer if they are not overwhelmed by the task. The smaller the amount of records the client has to review the better.
 Secure a dedicated room to store and review the records so the client does not have clutter in his/her area. You probably already have the clutter in your own office. If you have a collection of records off-site at a commercial records center you may be able to arrange a room to view the records at their site. Generally there is a charge to using this viewing room. Try to have the client set aside specific time during the work day for review and management of their records. Emphasize the importance of time management. I had clients actually request I put a few records at a time in their chair every morning to review.
 If the actual owner of the records cannot or refuses to complete the review, you might have to find a person with the authority to approve the destruction and/or would be willing to have someone else who is knowledgeable perform the task.
 Try to secure a champion from upper management who will help promote an annual records review program so that is becomes a requirement, not an option.
 Review all boxes in storage to insure that they have an appropriate retention period. If your local or state agency within a state that has a formal records management program, use or create a destruction notice that meets the state’s guidelines. Once you have destroyed the backlog, the annual review should become much easier if done on a regular basis.
 If you have an onsite records center and/or special areas to store records, do not let them become a dumping ground for non-records. Insist on control of the environment to insure the protection of the records from unauthorized use and review. This is easy to say but a challenge to do. I have taken photographs of poorly managed storage areas and used them successfully in presentations to management staff to emphasize potential risk to their organizations.

The cleanup process is probably one of the more stressful parts of a records managers duties. However, when you have completed the cleanup of the backlog you should feel satisfaction for successfully accomplishing the task.