46 Pa. Code § 15.51 - General provisions

(a) Definitions. The following words and terms, when used in this section and §§ 15.52-15.69 have the following meanings, unless the context clearly indicates otherwise:

Act-The Municipal Records Act (53 P.S. §§ 9001-9010).

Commission-The Historical and Museum Commission of the Commonwealth.

Committee-The Local Government Records Committee.

State Archives-The Commission's Division of Archival and Records Management Services.

(b) Purpose. This schedule is issued to inform municipal officials in cities of the third class, boroughs, incorporated towns, townships of the first and second classes and municipal authorities created by any of these municipalities of the opportunity to legally dispose of records in accordance with the provisions of the Records Retention and Disposition Schedule approved by the Committee.

(c) Program.

(1) An effective records management program can reduce storage and retrieval costs and increase productivity. Recognition of the need for a workable local records management program in Pennsylvania led to the passage of the act, and the creation of the Committee. The Committee's primary responsibility is to develop records retention and disposition schedules for each municipal office. Municipal officers are authorized by the act to dispose of records in accordance with schedules and guidelines which have been approved by the Committee. The schedules authorize and recommend, but do not require the disposal of records after the expiration of approved retention periods.

(2) Under the act, the Commission is designated as the agency responsible for administering the program of the Committee. The Commission works through the State Archives in carrying out these records functions. The State Archives seeks and utilizes the assistance of State and municipal officials and others knowledgeable in this area to guide it in setting standards for the retention and disposition of municipal records. It is believed that the establishment of records disposition procedures for the use of municipal officials will help ensure the preservation of records of permanent value and encourage the destruction of nonessential records.

(d) Municipal records.

(1) The term "public records" is defined in section 2 of the act (53 P. S. § 9002). Retention periods listed on the Municipal Records Schedule apply to information in all forms and formats. The fact that information is created and stored electronically or on microfilm rather than on paper has no bearing on its retention status. Information included under the definition of a municipal record may be disposed of in accordance with the act and disposition procedures approved by the Committee. If not specified in this schedule, contact the State Archives for information regarding the disposition of duplicate copies of records.

(2) Historically valuable public records are public property and should remain in public custody. The records should be maintained in a municipally operated archives/records center. If a municipality cannot adequately care for its own historical records, provisions may be made to store select inactive records of historical value at the State Archives in accordance with The Administrative Code of 1929 (71 P. S. §§ 51-720.13), or in a historical repository approved by the Commission.

(3) Records are scheduled for permanent retention by municipal governments, either in the original or microfilm form, if they have continuing administrative and legal value. The records are also historically valuable. The fact that records are not scheduled for permanent retention does not necessarily mean they do not have historical value or that the State Archives would not be interested in accessioning some of these records. For example, since relatively few early records have survived to the present, some records are historically valuable merely because of their age. Questions regarding the possible historical value of local public records, including those created after 1910, should be referred to the State Archives.

(e) Procedures for the destruction or transfer of municipal records.

(1) Records may be destroyed or transferred in conformance with sections 6 and 8 of the act (53 P. S. §§ 9006 and 9008). According to section 7 of the act (53 P. S. § 9007), a municipal official who disposes of public records in accordance with the act will not be held liable on an official bond or in the way of damages for loss or in another manner, civil or criminal, because of the disposition of public records under the act.

(2) These sections of the act require a municipality to:

(i) Declare its intent to follow the Municipal Records Schedule by municipal ordinance or resolution. This is basically a one time requirement. If the schedule is revised or updated, the municipality should go on record again by ordinance or resolution and specifically identify the new schedule so there is no confusion about which retention periods to follow.

(ii) Approve each individual act of disposition by resolution of its governing body. The records custodian should identify the records the custodian wants to destroy and have the governing body of the municipality concur with each individual request for destruction by means of a resolution. For example, if a municipal official wants to destroy ten boxes of cancelled checks in accordance with schedule guidelines, the governing body shall give its approval. The same is true if 2 years later the custodian wants to destroy another ten boxes of cancelled checks.

(3) When a municipality wishes to destroy nonpermanent records listed on the schedule, which have not been photographed, microphotographed or microfilmed, only paragraph (2) shall be followed. The Commission does not have to be notified of the action.

(4) In the following instances, in addition to complying with paragraph (2), receive written consent from the Commission by submitting a Records Disposal Certification Request in duplicate to the State Archives. If the disposal request involves compliance with retention requirements promulgated by an administering/funding/licensing agency, a copy of the appropriate rule should be included with the disposal form. Submit disposal forms as follows:

(i) Before destroying or transferring original records which have been photographed, microphotographed or microfilmed. Microfilm copies may be substituted for both permanent and nonpermanent records unless otherwise noted in the schedule, if the microfilm meets the standards approved by the Committee.

(A) Permanent records. Receive written consent from the Commission before destroying or transferring original permanent records which have been photographed, microphotographed or microfilmed. Requests to dispose of original records scheduled for permanent retention shall be accompanied by appropriate microfilm quality inspection report forms (MCIR-1) relating to the disposal request. These forms are available from the State Archives.

(B) Nonpermanent records. Receive written consent from the Commission before destroying or transferring original nonpermanent records which have been photographed, microphotographed or microfilmed prior to the expiration of the specified retention period when the municipality wishes to substitute the microfilm copy for the original record.

(ii) Before destroying or transferring records not listed on the schedule or records created prior to 1910.

(f) Audit requirements; Federal and State statutes/administrative regulations and records involved in litigation.

(1) Records subject to audit shall be retained for the periods listed in the schedule and shall be audited and findings resolved before the records may be destroyed. Applicable Federal and State statutes and administrative regulations may necessitate retaining records for a longer period of time than indicated in the schedule. Information on specific program regulations should be obtained from the appropriate administering/funding/licensing agency. Conversely, statutes and regulations may permit a shorter retention than indicated in the schedule. In those instances contact the State Archives before disposing of records.

(2) Records involved in litigation shall be retained until final disposition of the case even if they have met the minimum retention requirements.

(g) Standards for microfilming municipal records.

(1) Authority. The standards were adopted by the Committee in accordance with the act.

(2) Purpose. The standards are designed to help ensure the accuracy, usability, longevity and legal acceptance of microforms generated by municipal offices.

(3) Scope.

(i) The standards relate to the filming, processing, inspection, handling and storage of microform copies of municipal records. They shall be included as part of the requirements in microfilm service contracts. With minor exceptions, these standards are in strict conformance with American National Standards Institute (ANSI) and Association for Information and Image Management (AIIM) standards and practices. Color films are not covered by the standards.

(ii) Municipal officials who plan to microfilm records should contact the State Archives for copies of the Standards for Microfilming Municipal Records, advice on contracting for microfilm services, information on establishing a micrographics program, and sample microfilm identification targets.

(h) Policy and guidelines for the retention and disposition of original municipal records copied onto optical imaging systems and municipal records stored on optical disks.

(1) These types of records shall be managed as follows:

(i) Purpose. Establish and clarify a records management policy for municipal officers with respect to the retention and ultimate disposition of original records copied onto optical imaging systems and to records stored on optical disks in order to enable officers to incorporate information retention and retrieval considerations at the earliest possible time into their plans to acquire optical imaging systems. Electronic Data Interchange, Optical Character Recognition data or static electronic database information that an officer may wish to store on optical media are not addressed in this section or §§ 15.52-15.69.

(ii) Objectives.

(A) Integrate records maintained on optical disks into municipal records management programs.

(B) Provide information needed by municipal officers to properly evaluate the effect of optical imaging systems on their operations.

(C) Ensure that information stored on optical imaging systems will be accessible in conformance with records retention and disposition schedules and procedures approved by the Committee.

(D) Reduce the risks associated with optical imaging system hardware and software obsolescence.

(iii) Scope. Applies to municipal officers covered by the act.

(2) Before purchasing or using an optical imaging system to copy or store municipal records, municipal officers should contact the State Archives for copies of the Policy and Guidelines for the Retention and Disposition of Original Municipal Records Copied onto Optical Imaging Systems and Municipal Records Stored on Optical Disks.

(3) Advice and assistance in connection with the application of this schedule may be obtained by writing or calling the: Pennsylvania Historical and Museum Commission, Division of Archival and Records Management Services, Post Office Box 1026, Harrisburg, Pennsylvania 17108-1026, (717) 787-3913, 783-9874 or 783-9875.

Notes

46 Pa. Code § 15.51

The provisions of this § 15.51 adopted February 18, 1994, effective 2/19/1994, 24 Pa.B. 993.

This section cited in 46 Pa. Code § 15.52 (relating to applicability).