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The Oregon Administrative Rules contain OARs filed through June 15, 2014
 
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SECRETARY OF STATE, ARCHIVES DIVISION

 

DIVISION 30

RECORDS MANAGEMENT PROCEDURES

166-030-0005

Purpose

This Division specifies requirements for agency records management programs, and specifies the lawful authority and methods to destroy or otherwise dispose of public records. They apply to all public records, regardless of medium or physical format, created and stored by state and local agencies.

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192 & 357
Hist.: OSA 2, f. & ef. 11-21-75; OSA 5, f. 12-30-77, ef. 1-1-78; OSA 3-1988, f. & cert. ef. 10-20-88; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-2009, f. & cert. ef. 10-15-09

166-030-0016

Appointment of Records Officer

To establish a records management program that ensures the orderly retention and disposition of all public records, and to ensure the preservation of public records of value, each state or local agency shall designate a Records Officer. Records Officers organize and coordinate the agency’s Records Management Program, serve as their agency’s primary liaison with the State. Typical duties include planning, controlling, directing, organizing, training, promoting the program, and other activities involving the life cycle of information including records scheduling, retirement, storage and destruction. The State Archivist will provide training and assistance for Records Officers.

Stat. Auth.: ORS 357.855 & 357.895
Stats. Implemented: ORS 357.855 & 357.895
Hist.: OSA 5, f. 12-30-77, ef. 1-1-78; OSA 2-1987, f. & ef. 2-6-87; OSA 3-1988, f. & cert. ef. 10-20-88; OSA 9-2009, f. & cert. ef. 10-15-09

166-030-0021

Inventory and Appraisal (State Agencies)

To ensure accurate identification and evaluation of its records, each state agency shall, cooperate with the State Archivist in preparation of an inventory of the records of each of its organizational units, including the records of any other agency in its custody. These inventories shall be used to prepare a Special Schedule (OAR 166-030-0026) for public records in agency custody, regardless of medium or physical format. Special Schedules will not include schedules for records already listed in the State Agency General Schedule (OAR 166-300).

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192, 357.855 & 357.895
Hist.: OSA 5, f. 12-30-77, ef. 1-1-78; OSA 2-1987, f. & ef. 2-6-87; OSA 3-1988, f. & cert. ef. 10-20-88; OSA 3-1992, f. 4-3-92, cert. ef. 4-6-92; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-2009, f. & cert. ef. 10-15-09

166-030-0026

Public Records Retention and Disposition Authorization (State Agencies)

Authorization for destruction of public records by a state agency shall be obtained as follows:

(1) No authorization is required to destroy materials which are excluded or exempt by statute from the definition of public records. (ORS 192. 005(5), 192.170)

(2) A Special Schedule approved by the State Archivist, or an applicable State Agency General Records Retention Schedule found in OAR Chapter 166, Division 300, establishes the appropriate retention and disposition for state agency records. A state agency shall destroy public records that have met the terms and conditions of their scheduled retention period, subject to the prior audit requirements of OAR 166-030-0041 and any suspension ordered under the provisions of OAR 166-030-0045. Special Schedules shall be created from inventories (OAR 166-030-0021). Unless otherwise stated, a retention period shall be calculated from the date the public record was created. Retention periods for state agency records are both a minimum retention and a maximum retention period.

(3) State agencies shall submit a record of all public records (paper only) destroyed on the authority of the approved records retention schedules. This record shall list schedule number, record series title, cubic feet destroyed, and date destroyed. For electronic records, only agencies using an electronic records management system, need to report the records destroyed. The destruction report generated by the system shall suffice and should include retention schedule number, record series title, and date destroyed. Both the destruction report for paper records and for electronic records (when applicable) shall be forwarded to the State Archivist on an annual basis.

(4) Notwithstanding any existing records retention schedule, any State Agency electronic records with a scheduled retention period of Permanent, and which are also scheduled to be transferred to the State Archives, shall be kept by the agency in both electronic form and hard copy or microfilm form until State Archives electronic records accession review is completed. The State Archives will notify the agency in writing which electronic records, if any, will be accessioned and will specify transfer procedures, required format, required metadata and a required timetable for the electronic records transfer.

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192, 357.855 & 357.895
Hist.: OSA 5, f. 12-30-77, ef. 1-1-78; OSA 2-1987, f. & ef. 2-6-87; OSA 3-1988, f. & cert. ef. 10-20-88; OSA 3-1992, f. 4-3-92, cert. ef. 4-6-92; OSA 1-1995, f. & cert. ef. 5-31-95; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-2009, f. & cert. ef. 10-15-09

166-030-0027

Public Records Retention and Disposition Authorization (Local Agencies)

Authorization for destruction of public records by local agencies shall be obtained as follows:

(1) No authorization is required to destroy materials which are excluded or exempt by statute from the definition of public records. (ORS 192.005(5), 192.170)

(2) An applicable General Schedule published in OAR chapter 166, or a Special Schedule approved by the State Archivist, establishes the appropriate retention and disposition for local agency records. A local agency may destroy public records which have met the terms and conditions of their scheduled retention period, subject to the prior audit requirements of OAR 166-030-0041 and any suspension ordered under the provisions of OAR 166-030-0045. Unless otherwise stated, a retention period shall be calculated from the date the public record was created. Retention periods for local government agency records are minimum retention period.

(3) Notwithstanding any retention period listed in a General Schedule, no public record created in or prior to 1920 shall be destroyed without the express written permission of the State Archivist.

(4) Specific approval from the State Archivist by means of a Special Schedule is required to dispose of public records which are not listed in an applicable General Schedule found in these rules. Instructions on creating Special Schedules are available from the State Archivist.

(5) Special schedules will not be written for records contained in applicable local government general schedules unless the State Archivist determines that is necessary to do so. General schedules for local government agencies will be developed and filed as Oregon Administrative Rule following the procedures defined in OAR chapter 166, division 500. General schedules for local government agencies will be reviewed at least every five years, or sooner as specified by the State Archivist

(6) Notwithstanding any retention period listed in a General Schedule or Special Schedule, no public records listed on the Oregon Historical Records Inventory shall be destroyed. Copies of lists of records on the Oregon Historical Records Inventory are available from the State Archivist.

(7) Local agencies shall submit a record of all public records (paper only) destroyed on the authority of the approved records retention schedules. This record shall list schedule number, record series title, cubic feet destroyed, and date destroyed. For electronic records, only agencies using an electronic records management system, need to report the records destroyed. The destruction report generated by the system shall suffice and should include retention schedule number, record series title, and date destroyed. Both the destruction report for paper records and for electronic records (when applicable) shall be forwarded to the State Archivist on an annual basis.

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192, 357.855 & 357.895
Hist.: OSA 3-1988, f. & cert. ef. 10-20-88; OSA 3-1992, f. 4-3-92, cert. ef. 4-6-92; OSA 6-1994, f. & cert. ef. 8-29-94; OSA 1-1995, f. & cert. ef. 5-31-95; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-2009, f. & cert. ef. 10-15-09

166-030-0041

Prior Audit of Fiscal Public Records Required

Public records of fiscal transactions, regardless of medium or physical format, may not be destroyed until the minimum retention period has passed and the person charged with their audit has released them for destruction. If federal funds are involved, requirements of the United States government shall be observed.

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192, 357.855 & 357.895
Hist.: OSA 5, f. 12-30-77, ef. 1-1-78; OSA 3-1988, f. & cert. ef. 10-20-88; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-2009, f. & cert. ef. 10-15-09

166-030-0045

Suspension of Scheduled Public Records Destruction

A scheduled destruction of records, regardless of medium or physical format, which are the subject of a public records request or pending litigation shall be suspended until the request or litigation has been resolved. Only those records which have been specifically requested need be retained.

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192, 357.855 & 357.895
Hist.: OSA 5, f. 12-30-77, ef. 1-1-78; OSA 3-1988, f. & cert. ef. 10-20-88; OSA 1-1990, f. & cert. ef. 2-13-90; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-2009, f. & cert. ef. 10-15-09

166-030-0060

Public Records Disposition and Destruction (State and Local Agencies)

A Special Schedule approved by the State Archivist, or an applicable General Schedule published in OAR Chapter 166, authorizes disposition of public records. Disposition includes:

(1) Transfer to the custody of the State Archivist. When the scheduled retention period specifies transfer to the State Archives, an agency shall transfer its custody of the specified records to the custody of the State Archivist.

(2) Shredding, Pulping, or Incineration. Public Records which are confidential by law and negotiable instruments (even when cancelled or satisfied in writing) must be destroyed by shredding, pulping, or incineration. The destruction should be supervised and witnessed by a responsible employee of the agency. When using a contractor to destroy public records, the state or local agency must require posting of a bond or undertaking by the contractor to indemnify the state or local agency against any claims or actions resulting from his failure to protect the confidentiality of the public records, and must require a provision precluding sale, transfer, or delivery of the public records to a third party prior to data obliteration. The agreement shall also include provisions requiring secure transit to and handling by the contractor; and prompt processing of the public records by the contractor to fully obliterate the data they contain by shredding, pulping, or incineration.

(3) Recycling. Records which are not confidential by law may be sold or traded for recycling of the fiber or chemical they contain, provided that the sale or trade agreement includes provisions to ensure that the public records are promptly converted into a form which precludes use of the information they contain.

(4) Deposit in a Library, Museum, or Historical Society with the permission of the State Archivist. The originals of public records that have been microfilmed in compliance with ORS 192.040 to 192.070 and OAR 166-025, and other public records which have continuing local historical value although destruction is authorized, may be deposited in a Library, Museum, or Historical Society if disclosure of the record is not prohibited by law and the depository agrees to comply with ORS 162.305, 192.420, and 192.430. Agreements for such deposits must stipulate that the depository cannot sell or otherwise dispose of the records except by lawful and complete destruction or by returning them to the depositing agency. Permission of the State Archivist is required prior to transfer of records.

(5) Additional destruction requirements for electronic records are specified in OAR 166-017-0061.

Stat. Auth.: ORS 192 & 357
Stats. Implemented: ORS 192, 357.855 & 357.895
Hist.: OSA 5, f. 12-30-77, ef. 1-1-78; OSA 3-1988, f. & cert. ef. 10-20-88; OSA 3-1996, f. 4-9-96, cert. ef. 4-15-96; OSA 9-2009, f. & cert. ef. 10-15-09; OSA 3-2011(Temp), f. & cert. ef. 7-15-11 thru 1-11-12; Administrative correction 2-6-12

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