ARA-8.09 - Destruction of Records

A. Purpose 

As the agency responsible for setting procedures and securing permission from the State Archivist for destruction of City records, Archives & Records Management (Archives & Records) sets policy on the destruction of City records, including physical records stored at the Portland Archives & Records Center (PARC); physical records in agency offices; electronic records stored in the City Enterprise Electronic Records Management System (Content Manager); and electronic records stored on City network drives, City-owned applications, computer hard drives or external media, and in third-party systems (see also ARA 8.12). The purpose of this policy is to provide rules and procedures for the routine destruction of public records to ensure compliance with city, state, and federal recordkeeping requirements.

In keeping with records management standards, City records should not be maintained beyond their established retention. In addition to possible liability issues, records kept beyond their determined life impacts City resources for additional storage, equipment, and personnel time.

B. Policies

1. All City records are to be managed according to authorized Records Retention Schedules. The Records Retention Schedules are the legal authority to dispose of public records.
   1. City records must be scheduled for disposition according to their approved retention period.
   2. Agencies may arrange for confidential destruction with a NAID AAA-certified vendor, within their offices, or send records to the PARC to be destroyed.
   3. Physical records stored at PARC will be destroyed on schedule. Archives & Records will set procedures for notification of destruction and authorization.
      1. Records at PARC will not be maintained beyond their retention unless they are needed for an audit, litigation, or are historically significant.
      2. After agency notification of pending destruction, records will be destroyed unless they qualify for one of the above conditions.
   4. Electronic Records stored in Content Manager will be destroyed on schedule. Archives & Records will set procedures for notification of destruction and authorizations.
      1. Records in Content Manager will not be maintained beyond their retention unless they are needed for an audit, litigation, or are historically significant.
      2. After agency notification of pending destruction, records will be destroyed unless they qualify for one of the above conditions.

2. Records required for litigation or audits will be maintained until the need has been fulfilled, even if they might otherwise be destroyed.

3. Records determined to have historical significance by the City Archivist will be transferred to the Archives (Historical Collection), even if they might otherwise be destroyed.

4. Official notification of records accidentally destroyed or lost will be sent to Archives & Records as soon as the loss is identified.

C. Responsibilities

Agency

1. Agencies shall establish internal policies for evaluating office records on a yearly basis.
2. Records meeting their legal retention will be appropriately destroyed by the agency, a NAID AAA-certified vendor, or sent to PARC for destruction.
3. Records past their retention that are also required for audit or litigation will be identified and evaluated for their earliest destruction once the need has been met.
4. Agencies will promptly notify Archives & Records of records stored at PARC requiring an audit or litigation hold.
5. Agencies will promptly notify Archives & Records of records in Content Manager requiring audit or litigation hold if not marked for hold in the system.
6. Agencies will notify Archives & Records of changes to the laws affecting their records.
7. Agencies will promptly review Archives & Records destruction notices and identify records needing to be retained due to litigation or audit.
8. Agencies will contact Archives & Records if records held by the agency (not at PARC or in Content Manager) and ready for destruction may have historical value. Any records identified in the Records Retention Schedules as being Permanent, Archival, or requiring Archival Review may not be destroyed by the agency.

9. Agencies will notify Archives & Records in writing as soon as they become aware that records have been lost or accidentally destroyed; the notification will include a description of the records and the circumstances leading to the loss.

Archives & Records Management

1. Only records classified using an appropriate Records Retention Schedule that have not met their retention will be accepted for storage at PARC or ingested into Content Manager.

2. Physical records that have met their retention and are not historically significant may be sent to PARC for direct destruction.

3. At least once a year, Archives & Records will notify agencies which records stored at PARC or in Content Manager have met their retention.
   1. Records involved in an audit or litigation will be held until the need has been filled.
   2. After notifying agencies of a pending destruction, Archives & Records will destroy records not required for audits or litigation.
   3. Records deemed potentially historical will be transferred to the Archives for archival review performed by the City Archivist.

Auditor’s Office Administrative Rule Information

Questions about this administrative rule may be directed to the Archives & Records Management Division.