A record may be dispositioned when it has reached the end of its retention period. Disposition of records may entail destroying paper or electronic records, confidentially shredding records, or transferring records to the State Archives if they have been identified as “Notify Archives” on the Retention Schedule.

A record may be destroyed only after the Secretary of State’s Office has determined that the record has no further administrative, legal, or fiscal value and the Secretary of State has determined that the record is inappropriate for preservation in the State Archives (pursuant to Government Code §12275(a)).

While there may be some reluctance to destroy records, but remember that adherence to the approved, signed, and compliant Records Retention Schedule is critical. This is an important part of the Records Management Program. If records are never destroyed, State agencies would be overwhelmed with records that are no longer useful to conduct business. Additionally, State agencies are liable for all records they retain in the event of a Public Records Act request, or any kind of legal action taken.

Records WITH “Notify Archives” Flags

Records that have a “Notify Records” flag are identified as having enduring historical value and must be provided to the State Archives at the end of their retention. The State Records and Appraisal Program (SRAP) archivists must be contacted about any Notify Archives-flagged records on your schedule that have met retention so that they can help facilitate their transfer to the CA State Archives.

  1. The first step in transferring records to the State Archives is determining which records have been identified as potentially having archival value. Look for record series identified on your retention schedule with a Notify Archives designation.
  2. The next step is to determine when those flagged records have reached the end of their retention period. Retention periods are found on the retention schedule in columns 43 through 46. Instructions and guidance for their disposition can be found in column 48, the remarks column.  
  3. The Notify Archives flag overrides any agency-supplied instructions. In other words, even if someone internally may have provided instructions to destroy certain records after five years, if those records are flagged “Notify Archives”, those instructions should only be followed once the agency has spoken with SRAP and it has been determined that the records don’t need to be transferred to the Archives. 

If these records have been determined by the archivists as being historically valuable, then those records must be transferred to the State Archives upon reaching the end of their retention period.

Archives Transfer Form – CSA-TL-01

If SRAP determines that some of your records should be sent to the Archives, you’ll need to complete a records transfer agreement. A records transfer agreement is our required form and is known as the CSA-TL-01.

SRAP has created transfer lists both for paper records and electronic records.  

Transferring Paper Records to the California State Archives

For records with archival value, the SRAP archivist will work with the agency to have those records transferred to the State Archives. For paper records that have been identified as requiring transfer to the Archives, please review the following steps:

  • Speak with the agency-assigned SRAP archivist and complete the CSA-TL-01 form for paper records.

Once records are confirmed for transfer,

  • Place records into standard cubic foot or records storage boxes and number the boxes to match the Records Transfer Agreement (CSA-TL-01 Paper).
  • Pack file folders in an upright position so that they are not slumping.
  • Pack the files using the same arrangement that was used to create and maintain the record series. Do not create a new filing system.
  • Avoid packing records in re-purposed boxes that are used for holding reams of papers (paper boxes).
  • Avoid over-packing boxes.
  • Place records in folders when possible. There should be no loose or free papers. Do not send files in hanging file folders. Do not use rubber bands to hold records together.
  • Clearly label the outside of each box with the Box Number and the name of the Department or Agency.
  • Remove files from binders and place in folders.
  • Remove duplicate materials from files prior to transfer.
  • Place a copy of the Records Transfer Agreement (CSA-TL-01 Paper) form in Box 1 of the transfer. Do not tape or otherwise fasten the form to the box or lid.

The delivery of the paper records to the State Archives is the responsibility of the transferring agency. It is the agency’s responsibility to determine how the records will be sent. The department may deliver the boxes directly, have them delivered by Interagency Mail Service (IMS), or ship boxes by private delivery company. The transferring agency should work with the SRAP archivists to coordinate the best method as well as date when the records will be delivered. The SRAP Archivist will provide instructions on where to deliver the records. Do not deliver records to the State Archives until you have coordinated with a SRAP archivist.

The State Archives assumes the legal and physical control of records after transfer from the state agency. Unlike the State Records Center, the State Archives does not return records to state agencies.

Credit: SRAP Transfer of Paper Records to the Archives

Transferring Electronic Records to the California State Archives

Electronic records are bound by the same legal requirements as paper documents. An agency’s retention schedule should reflect any electronic records produced by the agency, and they should undergo the same evaluations as paper documents for retention and disposition. As part of the schedule review by CalRIM and SRAP electronic records bearing administrative, legal, and historical value may be “flagged” for transfer to the Archives.

Electronic records come in a variety of formats and record types and may include textual data (word processed, formatted, and unformatted or (plain) text), structured data (databases, spreadsheets), email, computer-aided design (CAD) files, digital audio, digital moving images, digital still images, geospatial data, presentation files, and web records. Because of this variety, electronic records require special considerations prior to transfer.

Preparing Electronic Records for Transfer

A successful electronic records transfer requires coordination between the agency’s RMC, the agency’s records managers and IT team, and Archives staff.

When transferring electronic records, the following should be considered and discussed with the parties involved to ensure an effective records transfer:

  • Have records reached the end of their retention period?
  • Are record series appropriately identified?
  • Have the file formats been identified?
  • What is the number of records being transferred?
  • What is the volume of the records? (in terabytes, gigabytes)
  • Do any access restrictions apply to the records?
  • What metadata is included with the records?
  • Have files been vetted for encryption and, if any encrypted files exist, is there a means of decryption transmitted with the file?
  • What is the method for transmission? (A secure File Transfer Protocol or portable device?)

****** California State Records Management Act, Government Code Sections 12270-12279 Government Code 12275(a).

File Formats for Transfer

Some file formats are more desirable for long-term preservation than others. For example, a Microsoft Word document is more vulnerable to obsolescence than a PDF/A file and is not ideal for ensuring long-term access.

Consulting with your IT department and staff at the State Archives can help establish the appropriate format for files pending transfer.

Credit: SRAP Transfer of Electronic Records to the Archives

Utilizing the Records Destruction Log

Once a record has reached the end of its retention period, and if it has not been identified as having historical value with “Notify Archives,” the record may be destroyed.

CalRIM has developed a Records Destruction Log8 to assist State agencies with tracking the destruction of their records. The Destruction Log is an internal document for the State agency’s use and are not submitted to CalRIM.

The Destruction Log itself is a record and should be included on the Records Retention Schedule. Therefore, the Destruction Log may be included in a Public Records Act (PRA) request and would be discoverable per the PRA.

State agencies should keep in mind that Destruction Logs should be maintained consistently. If there is a lapse in maintaining the Destruction Log and records are destroyed without being included, there is the potential risk of the State agency appearing to hide the destruction of records.

Destroying Paper Records

Records that do not have a “Notify Archives” flag may be destroyed at the end of their retention period like normal.

Destruction can be accomplished several ways: either in-house recycling, shredding, or confidential destruction; using the State Records Center (SRC) or Document Destruction Center (DDC); or through a contracted vendor.

Witnessed Destruction of Confidential Records

When using a contracted vendor for confidential destruction, State agencies should provide a witness who is a state employee to ensure the confidential records have been properly destroyed per SAM 1623. The Records Management Coordinator (RMC) may be tasked with witnessing confidential destruction of records. However, any State employee can be tasked when witnessing the confidential shred for Agencies. The method of records destruction should be documented in the State agency’s policies and procedures.

Destruction Log – Template Form

The CalRIM team has developed a Destruction Log Template Form for agencies to use to document destruction of their records once their retention has been reached. This form is highly recommended for agencies to implement within their offices. This form, again, will document that destruction of records occurred per the retention schedule, and destruction is signed off on by the manager responsible for records and the agency RMC.

It is important to implement a destruction log as this form becomes the final way to prove that agency records are being destroyed legally and per the retention schedule. If records are requested for a Public Records Act (PRA) request, or as part of a lawsuit or audit, this form can prove that the agency has destroyed their records legally and per the instructions on their approved retention schedule.

Lost or Accidentally Destroyed Records – Notification Form

Agency Records Management Coordinators (RMCs) are required to notify the Secretary of State if a record is lost or accidentally destroyed per Government Code section 12274.5(m).

CalRIM has created a form to satisfy this requirement, called the Lost or Accidentally Destroyed Records: Documentation Template (CalRIM-04). This template supports the documentation of the loss or destruction following the incident and is not intended to punish or malign the agency. Reporting the issue is a legal requirement and also promotes transparency and demonstrates a proactive effort to identify how the loss of records occurred and make changes to prevent future loss. Proper documentation will also aid an agency should the records be subject to a Public Records Act Request, audit or lawsuit in the future.