Materials and Data Disposal Guide

View Full Materials and Data Disposal Guide

Key Points and Good Practices

• RIMS and the State do not need a file-level, box-level, or drawer-level inventory. 
• Beware of mis-labeling on the outside of the box.
• View each file/folder/binder, note record type(s) present, don’t spend over a minute on each.
• Contact RIMS if you find yourself spending more than 1 hour on this or any other records management-related task.

Necessary Information

• Record type, per the State-approved Records Retention Schedules.
• Retention trigger date range.
• Volume in cubic feet or gigabytes.

A Note on Dates

The dates needed are not necessarily the dates on the items.  Rather, they are based on the materials’ "retention trigger”.  Financial Transaction Records need to be retained for 5 years after transaction date.  The transaction date, then, is the "retention trigger," or the date when the retention period begins.  However, Promotion and Tenure Files must be retained for 6 years following the person's separation from employment.  In this case, the separation date is the "retention trigger."

Example #1

A unit has one standard size Bankers box, full of folders that contain purchase receipts.  The box is labeled, “Receipts, Jan. 2010 to Dec. 2012”.  Your inventory process might look like this:

• Remove each folder from the box and thumb through it.
• Note that all the folders do, indeed, contain purchase receipts.
• The Records Retention Schedules tell you these are “routine operation financial transaction records.”
• Confirm that 01/2010 to 12/2012 are the first and last transaction dates.
• Consult the Volume Estimation Guide, learn this standard Bankers box is 1 cubic foot.
• Your inventory is done:
  • 1 cubic foot [Volume] of routine operation financial transaction records [Record Type] dating from 01/2010 to 12/2012 [Retention Trigger Dates].

Example #2

The unit has three double-size Bankers boxes, labeled “P&T letters of rec. 1/1990 to 8/1996.”

• Open the boxes, thumb through each folder – confirm that these are tenure letters of recommendation, and that they do date from January of 1990 to August of 1996.
• The Records Retention Schedules identify these as “Promotion and Tenure Records,” which must be held for 6 years past separation date of the employee.
• You note the names of the employees and determine the earliest and latest separation date.  All of these employees separated between 01/2000 and 12/2015.
• Consult the Volume Estimation Guide, noting that these boxes are 2 cubic feet each, meaning that this material takes up 6 cubic feet. 
• Your inventory is done:
  • 6 cubic feet [Volume] of Promotion and Tenure Records [Record Type], dates from 01/2000 to 12/2015.

Resources

• Excel RIMS Inventory Template (you may also enter information right into the Records Disposal Request Form.)
• Volume Estimation Guide – useful for converting storage media (file cabinets, boxes, shelves, etc.) into cubic feet.

The following resources might help:

• “What is Records and Information Management” KnowledgeBase article
• Communication 003: Identification of University Records versus Non-Records 
• RIMS Guide for the Clarification of Non-Record Materials

If you are still unsure, the RIMS office can help you identify your non-record materials.  

There are two ways to request disposal approval.  Use our Disposal Request Form to request approval for any of the record types listed on the general Records Retention Schedules, except for Medical Center Records.  If you are unfamiliar with using the Form, please consult either the Form User Guide or the Filling Out the Disposal Form How-To Video.

If you have Medical Center Records or any other type of material, please send your Inventory Template to the RIMS team. 

Early each month, RIMS submits to the State all disposal requests received during the previous month.

Such content can include but is not limited to names and birth dates, driver’s license numbers, social security numbers, and personal health information (PHI).  Be aware that this can also be hidden information (e.g., copier or printer data storage) or on damaged media.  Hidden information can be stored on the disk of an office copier or scanner.  If your office transmits restricted information using such a machine, the Illinois Data Security on Computers Act requires the device to have its data overwritten prior to repurposing. Each University’s Information Security program (UIUC/UIS, UIC) provides more information about sensitive content and how to identify it.

For paper files:

1. Use an in-house cross-cut shredder to shred paper to a maximum width of 3/8 in.
2. Hire a vendor.  Contact the appropriate campus purchasing office for assistance in this process.  Please notify Purchasing and the vendor you select if any items might contain: Health, Payroll, Credit Card, Student or Personal Identifying information. These items require special handling and security measures. 
3. (Urbana-only) Transfer paper media directly to the Waste Management and Recycling facility using their large paper tote (be sure to request one with a lock), or via transfer of closed boxes by the campus movers to the facility.

For digital material: 

1. Contact the Technology Solutions Helpdesk (Chicago), Tech Services Help Center (Urbana-Champaign), or ITS Client Services (Springfield) for guidance on how to securely dispose of your digital material.  You can also consult with your unit's own IT personnel.
2. External vendors can dispose of/shred electronic storage devices.  RIMS can assist with contacting vendors if you do not have an existing relationship with one.
3. Tech Services (Urbana-Champaign) has published a KnowledgeBase article, "Security Compliance, Electronic Data Storage Device Disposal", which might be helpful.