Procedure for Retention, Appraisal and Disposal in Performing
Legal Duties.
Retention is the process of maintaining records for continuing use, either in the
agency of origin, in a records centre or in an archival institution.
Disposal: is the actions taken with regard to records as a consequence of their
appraisal and the expiration if their retention periods.
Disposal is also known as disposition.
Disposal options include transfer to an archival institution or retention in the
agency of origin.
Disposal schedule: The control document recording appraisal decisions and
recommending disposal action.
Also known as
disposal list
disposition schedule
records schedule
retention schedule
Retention or transfer schedule.
Disposal Schedules have Four Purposes.
They identify all the records of an agency, irrespective of medium and
format, including those in the private offices of ministers or senior officials
and confidential and secret records held.
They document decisions about the length of time records need to be
retained because of their continuing utility to the creating agency (retention
periods).
They document decisions about the appropriate disposal action to be taken
at the end of retention periods.
They serve as authorities for disposal action.
Criteria for Preparing Retention and Disposal Schedules
1. Identify Records
A complete inventory of all records, including paper, electronic, and other
formats, is crucial. This includes identifying record collections, series, or
systems
2. Determine Business Need
Assess the operational, administrative, legal, and financial value of each
record type. Consider the reasons for retaining the record, such as legal
requirements, auditing, historical value, or ongoing business processes.
3. Establish Retention Periods
Determine the length of time each record type should be kept, based on its
business need and any legal or regulatory requirements. Review retention
periods periodically, at least every 5 years, to ensure they remain relevant
and appropriate.
4. Outline Disposal Methods
Specify how each record type will be disposed of, whether through
destruction, transfer to archives, or change to microfilm. Ensure that disposal
methods comply with legal and regulatory requirements and are in
accordance with archival procedures.
5. Develop and Implement the Schedule
Create a comprehensive retention and disposal schedule that covers all
records. Ensure that all records, including those in paper and electronic
format, are assigned a retention date. Implement procedures for identifying
when retention dates expire and for informing relevant staff.
6. Review and Update
Regularly review the schedule to ensure it remains accurate and relevant.
Make necessary adjustments to reflect changes in business needs or legal
requirements.
Figure: Disposal Schedule
Source: Public Record Office, UK. PRO Manual of Records
Administration.
PERIOD AFTER
CLASSES OF DOCUMENTS WHICH
DOCUMENTS
MAY BE
DESTROYED
Finance
1. Public expenditure surveys including dept. reports FY + 9 years
FY + 4 years
2. Public expenditure survey committee papers
3. Supply estimates documentation FY + 9 years
4. Appropriation accounts documentation
FY + 9 years
5. Running tally forms FY + 1 years
FY + 2 years
6. APEX documentation
FY + 1 years
7. Accounts ledgers
FY + 6 years
– Purchase ledger : paper records
tape records
FY + 1 years
– Purchase ledger : paper records
tape records
FY + 6 years
– Sales ledgers: paper records
tape records
FY + 1 years
– Journal transfer documentation
8. Payments vouchers FY + 2 years
9. Cash account vouchers
FY + 2 years
10. VAT returns FY + 6 years
FY + 6 years
