4:017 Records Retention and Disposal of Records
|Austin Peay State
|Records Retention and Disposal of Records
||August 17, 2018
||Vice President for Finance and Administration
It is the policy of Austin Peay State University to retain and dispose of records
The purpose of this policy sets forth the records retention schedule and procedures
for disposal of records for the University.
-Confidential Public Record
-Records of Archival Value
-Records Disposition Authorization
-Disposal of Records
-Certificate of Destruction
-Records Retention Schedules
-APSU Records Management
-Certificate of Destruction
-TN Division of Records Management
Tennessee Public Records Commission Rule 1210-1-2, Definitions, controls
||Records shall mean all documents, papers, letters, maps, books, photographs, microfilms,
electronic data processing files and output, sound recordings, or other material regardless
of physical form or characteristics made or received pursuant to law or ordinance
or in connection with the transaction of official business by any governmental agency.
For the purpose of this policy, records are only those items defined as such by the
||Those records which have permanent administrative, fiscal, historical or legal value.
||Those records or materials which can be disposed of in a short period of time as being
without value in documenting the functions of an agency. Temporary records will be
scheduled for disposal by requesting approval from the Public Records Commission utilizing
a Records Disposition Authorization.
|Any public record which has been designated confidential by statute and includes information
or matters or records considered to be privileged and any aspect of which access by
the general public has been generally denied.
|Records of Archival
|Any public record which may promote or contribute toward the preservation and understanding
of historical, cultural, or natural resources of the State of Tennessee.
||Any public records essential to the resumption or continuation of operations, to the
recreation of the legal and financial status of government in the state or to the
protection and fulfillment of obligations to citizens of the state.
||Agency shall mean any department, division, board, bureau, commission or other separate
legislative branch and the judicial branch to the extent that it is constitutionally
||Records management shall mean the application of management techniques to the creation,
utilization, maintenance, retention, preservation, and disposal of records in order
to reduce costs and improve efficiency of record keeping. It shall include records
retention schedule development, essential records protection, files management and
information retrieval systems, microfilm information systems, correspondence and word
processing management, records center, forms management, analysis and design, and
reports and publications management.
||The preservation of the original records in whole or in part, preservation by photographic
or other reproduction processes, or outright destruction of the records.
|Records Disposition Authorization
||Records Disposition Authorization (RDA) shall mean the official document utilized
by an agency head to request authority for the disposition of records. The Public
Records Commission shall determine and order the proper disposition of state records
through the approval of Records Disposition Authorizations.
||Those records created to serve as input for final reporting documents, including electronic
data processed records, and/or computer output microfilm, and those records which
become obsolete immediately after agency use or publication.
||The recording of information on paper, printed forms, punched cards, tape, disk, or
any information transmitting media, shall include preparation of forms, reports, state
publications, and correspondence.
Disposal of Records
- Disposal of records must be approved by the State Public Records Commission (PRC).
No records, paper, electronic, or other media may be destroyed unless and until meeting
the criteria of this policy and PRC rules.
- Unless specified otherwise, or otherwise required by law, records may be imaged, microfilmed,
or electronically reproduced and the paper copy destroyed upon verification of an
archival quality reproduction. The microfilm, image, or electronic record will then
be retained for the balance of the indicated retention period.
- No record shall be destroyed, however, so long as it pertains to any pending legal
case, claim, or action; or to any federal or state audit until such actions have been
- State records have been approved for disposal by state-approved methods:
- Purge (paper & electronic)
- Any record designated "confidential" shall be so treated by agencies in the maintenance,
storage and disposition of such confidential records. These records shall be destroyed
in such a manner that they cannot be read, interpreted or reconstructed.
- Unless specifically approved by the APSU Records Officer, any records which reflect
"Permanent" retention should be maintained by means other than paper after verification
of an archival quality electronic reproduction. After verification, the paper copies
will be destroyed.
- Actions by the State Commission shall be communicated to all campus Records Officers.
- Records Officers have the authority and responsibility to retain and dispose of records
in accordance with approved records disposition authorizations.
- Prior to the destruction of any records, the Records Officer must determine if the
action should be delayed due to audit or litigation requirements.
- Specific records pertaining to current or pending litigation or investigation must
be retained until all questions are resolved. These specific records can be retained
in a suspense file, while all other records not under pending investigation shall
be disposed of in accordance with established Statewide and University Records Disposition
- Records Officers should establish and apply retention schedules for records in their
custody that may not be specifically addressed in this policy.
- State of Tennessee Records Management Division has authorized the implementation and
utilization of the Certificate of Destruction form in order to better track the volume
of records destroyed and to insure that records have met the criteria necessary for
- Certificate of Destruction forms must be used when destroying public or confidential
records that are not destroyed during the annual Operation Roundfile campaign – an
initiative through Executive Order 38 to purge out-of-date documents and/or records
on an annual basis.
- Certificates shall be held at the University.
- APSU adheres to Statewide Records Destruction Authorization (RDA) Classifications.
- Notwithstanding the retention period stated herein, should such periods conflict with
federal or state law or regulation, the period of longer retention shall apply.
Statewide and University RDA’s
|A list of the Statewide and University RDA's that APSU adheres to can be found online
APSU Policy 4:017 – Rev.: August 17, 2018
APSU Policy 4:017 – Rev.: March 15, 2018
APSU Policy 4:017 – Issued: March 8, 2017
President: signature on file