Submission of Records Disposition Documentation

As outlined in the University Records Management Policy, (Section D.6) university records are subject to review and selection by the University Archives for long‐term preservation prior to any disposition, whether it be secure destruction or transfer to the University Archives.

The following outlines processes to be followed when records are identified for disposition. Remember that you can contact the Records Management Office, at any time to assist in these processes.

Units are to:

1. Have a designated Signing Authority on file with the Records Management Office. 

a. Signing Authority expectations and the form can be found here.

2. Identify all records ready for disposition by:

a. Listing records. A template to help inventory can be found here
b. Classifying records using DalCLASS, and
c. Complete the related Record Disposition Authorization Form.

Records Disposition Authorization Forms

Determining which Record Disposition Authorization Fform is required to be completed depends on the format of the records and what disposition is required: secure destruction or transfer to the University Archives. What format the records are in determines the process for completing the disposition as well. Again, remember that you can contact the Records Management Office, at any time to assist in these processes.

Records Ready for Secure Destruction

Electronic records:

• Records Disposition Authorization Form for secure deletion of electronic records.
• Applying disposition - Contact the Records Management Office at DalRM@dal.ca.

Physical records:

• Records Disposition Authorization Form for secure destruction of physical records.
• Preparing records for secure destruction or storage see: Boxing Physical Records for Storage and Disposition.
• Applying disposition - Contact the Records Management Office at DalRM@dal.ca.

Records Ready for Transfer to the University Archives

Electronic records:

• Records Disposition Authorization Form to transfer electronic records to the University Archives.
• Applying disposition - Contact the Records Management Office at DalRM@dal.ca.

Physical records:

• Records Disposition Authorization Form to authorize transfer physical records to the University Archives.
• Preparing records for secure destruction or storage see: Boxing Physical Records for Storage and Disposition.
• To organize the physical transfer - Contact the Records Management Office at DalRM@dal.ca.

Email all forms and inventory lists to the Records Management Office at DalRM@dal.ca.

Review Process

As part of this process when the record disposition form is sent to a Signing Authority approval they will identify if any of the records: 

• Are subject to an audit that is underway or pending
• Are subject to legal discovery in a legal matter that is underway or anticipated
• Are subject to a pending or ongoing investigation or review
• Pertain to an open application for access to records made under the FOIPOP Act
• Document financial obligations that have not been completed
• Document contractual obligations that have neither expired nor been fulfilled
• Have operational requirements for retention that have changed since approval of the records schedule

If any of the above are true a Records Hold Form is to be completed and sent to the Records Management Office. A copy can be retained in the faculty or department. When a hold is placed on records an annual review process will be initiated by the Records Management Office and the forms will be updated accordingly.

After the Archivist has reviewed and authorized the disposition documentation, staff will contact the Records Contact or signatory to discuss next steps.

Please see Preparing Records for Storage and Disposition for instructions on how to pack boxes for safe shipment, storage and access.

Submitted to the Records Management Office

Once the signing authority has been confirmed and the related Records Disposition Form with inventory has been received, Records Management staff will:

1. Verify authorized signatures, checking to make sure that the signature on the disposition authorization form(s) corresponds to the Signing Authority Forms, 
2. Communicate with the records contact or signatory signing authority if clarity is required regarding the submitted documentation.
3. Forward the documentation to the Associate Dean of Archives, Records Management, and Special Collections for final review and authorization, as per the Records Management policy.

After the Associate Dean of Archives, Records Management, and Special Collections has reviewed and authorized the disposition, the Records Management Office will contact the submitter or signatory to discuss next steps.

Please see Boxing Physical Records for Storage and Disposition for instructions on how to pack boxes for safe shipment, storage and access.

If you have questions or require assistance, contact the Records Management Office at any time to assist in these processes.