STATE OF MICHIGAN
RECORDS MANAGEMENT MANUAL
FOR LOCAL GOVERNMENTS
Records Management Services
November 29, 2023
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Table of Contents:
Section Page Number
Introduction 2
Public Records 3
Retention and Disposal Schedules 4
Disposition of Public Records 8
Transferring Records to the Archives 9
Managing Electronic Records 10
Disaster Preparedness and Response 11
Proper Storage of Records 12
Laws:
• M.C.L. 15.231-15.232 (Freedom of Information Act, Definitions)
• M.C.L. 18.1284-1292 (Management and Budget Act, Records Management)
• M.C.L. 399.809-812 (Michigan History Center Act)
• M.C.L. 750.491 (Penal Code, Public Records)
Note: The Michigan Complied Laws are available online.
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Introduction
Public records are the property of the people of the State of Michigan. As a result,
Michigan government agencies are responsible for ensuring that the public records they
create and receive while conducting public business are retained and destroyed in
accordance with Michigan law. Records Management Services is responsible for
assisting local government agencies with addressing records management and
preservation issues.
While there are various laws that require Michigan government agencies to employ
sound records management practices, agencies often find that good records
management is good business. Almost every business process employs records, and
agencies need to ensure that these records are managed in an effective and an efficient
manner. Good records management can save agencies time and space (resources that
are frequently in short supply for most offices).
Records Management Services can help local government agencies:
• Create records retention and disposal schedules for local government offices.
• Analyze the need for microfilm, microfiche, digital imaging systems and other
records storage media.
• Follow regulations for reproducing public records.
• Determine the best method of records disposal.
• Learn about emerging records management issues associated with computer
technology.
• Establish proper storage space for local government records.
Local governments seeking assistance with their records management and preservation
concerns may contact:
Records Management Services
Department of Technology, Management and Budget
3400 N. Grand River Ave.
Lansing, Michigan 48909
(517) 335-9132 (phone)
https://www.michigan.gov/recordsmanagement
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Public Records
The Michigan Freedom of Information Act (FOIA) (Public Act 442 of 1976, as amended),
defines public records as recorded information “prepared, owned, used, in the
possession of, or retained by a public body in the performance of an official function,
from the time it is created.”
Two laws provide that local government records belong to the people of Michigan.
A. Section 491 of the Michigan Penal Code (MCL 750.491) declares that all official
books, papers, and records created by (or received in) any office or agency of the
political subdivisions of the state of Michigan are considered public property,
belonging to the people of the state.
B. Section 5 of the Michigan History Center Act (MCL 399.811) provides that all
records required to be kept by local public officers in the discharge of their duties,
records required to be filed in local public offices, and records which represent
memorials of transactions of local public officers, are considered to be property of
this state.
Section 491 of the Penal Code (MCL 750.491) declares the improper disposal of local
government records to be a crime. This law states as follows: “Any person who shall
willfully carry away, mutilate or destroy any of such books, papers, records or any part
of the same, and any person who shall retain and continue to hold the possession of
any books, papers, or records, or parts thereof, belonging to the aforesaid offices and
shall refuse to deliver up such books, papers, records, or parts thereof to the proper
officer having charge of the office to which such books, papers, or records belong, upon
demand being made by such officer, or, in cases of a defunct office, the Michigan
historical commission, shall be guilty of a misdemeanor, punishable by imprisonment in
the state prison not more than 2 years or by a fine of not more than $1,000.00.”
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Retention and Disposal Schedules
Michigan law requires that all records be listed on an approved Retention and Disposal
Schedule that identifies how long the records must be kept, when they may be
destroyed, and when certain records can be sent to the Archives of Michigan for
permanent preservation. All Retention and Disposal Schedules must be formally
approved by the Records Management Services (DTMB), the Archives of Michigan
(DTMB) and the State Administrative Board. Retention periods listed on approved
Retention and Disposal Schedules have the force of law. There are two types of
schedules that local government agencies may use:
• General Schedules: cover records that are common to a particular type of local
government agency, such as a county clerk or a school district. General schedules
may not address every single record that a particular agency may have in its
possession. General schedules do not mandate that any of the records listed on the
schedule be created. However, if they are created in the normal course of business,
the schedule establishes a minimum retention period for them.
• Agency-Specific Schedules: cover records that are unique to a particular local
government agency. Agency-specific schedules always override general schedules
if a record is covered on both. Agency-specific schedules only address the records
of the agency named on the schedule and may not be used by another agency. The
retention periods are absolute minimums and maximums.
Note: Agencies must immediately cease the destruction of all relevant records (even if
destruction is authorized by an approved Retention and Disposal Schedule) if they
receive a FOIA request, if they believe that an investigation or litigation is imminent, or if
they are notified that an investigation or litigation has commenced. If relevant records
exist in electronic formats (such as email, digital images, word processed documents,
databases, backup tapes, etc.), the agency may need to notify its information
technology staff. Failure to cease the destruction of relevant records could result in
penalties.
RECORDS AND RECORDS SERIES
Retention and Disposal Schedules are generally used to identify retention requirements
for records series, but they may also be used to identify specific records.
A “records series” is a logical grouping of related records normally filed together to
support a specific business process. Whereas a “record” is an individual piece of
recorded information. For example, the January 2003 minutes of the meeting of the
Michigan Historical Commission is an individual record. However, all minutes of all
meetings held by the Michigan Historical Commission, organized chronologically with
meeting notices, agendas and supporting documentation, constitute a records series.
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GENERAL RETENTION SCHEDULES
The general retention schedules that are approved for use by local governments are
published online.
AGENCY-SPECIFIC SCHEDULES
Local governments must create and submit agency-specific schedules to cover any
records that are not listed on a general schedule. If the local government needs a
different retention period than the one listed on a general schedule, they can submit a
specific schedule for approval. The specific schedule will override the general schedule.
Below are the instructions for creating specific schedules.
1. Conduct an inventory of all records or records series (both paper and electronic)
that are created or maintained by the agency.
• It helps to select a room or cubicle, and then survey each drawer of each file
cabinet or shelving unit to determine its contents.
• While conducting the inventory, it would be a good idea to ensure that all
drawers, shelves, file folders, boxes, etc. are properly labeled.
• Identify any databases, spreadsheets, etc. that are used to support business
processes or to help access paper files (such as indexes).
2. Create a list of the record series identified as a result of the inventory and include
brief description of the function and content of each series.
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Try to answer the
following questions:
• Why is the record series created?
• Does a law mandate the creation of the records series? If so, which law?
• How is the records series created?
• How are the records organized? (alphabetically, chronologically, etc.)
• What format(s) does the records series exist in? (paper, photographs, maps,
drawings, microfilm, digital images, e-mail, database, etc.)
• What information can be found on a particular record? (names, dates, social
security numbers, addresses, etc.)
• Does the record series contain confidential information?
• When did the agency first start to create/receive this record series? Is the
record series still created?
• Do other agencies maintain the same exact records series? If so, who? Why?
3. Establish retention periods for each records series based upon the following:
• Statutorily required retention period, if any
• Statute of limitation requirements
• Audit requirements
• Administrative need
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Records series descriptions are essential for helping people identify and locate the records in their
office.
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• Potential historical value
4. Fill out the Record Inventory form with the proposed record series. See instructions
and example.
5. Fill out the Local Government Contact Information form. Send both the completed
Record Inventory and Local Government Contact Information forms to DTMB
Records Management Services via email at [email protected] for review.
6. When the draft is ready for approval, DTMB Records Management Services will use
the State of Michigan eSignature tool to send the schedule to the agency
representative for signing. The agency contact person will be notified when the
schedule is approved.
7. Distribute the newly approved schedule to affected employees and establish a
routine for disposing the records according to the provisions of the schedule.
DEFINITIONS OF RETENTION CODES
The retention codes that appear on some records Retention and Disposal Schedules
are used to establish how long records are retained by the creating agency before they
are destroyed (or transferred to the Archives of Michigan for permanent retention). In
addition to the retention code, an amount of time (such as years and/or months) can be
used in the calculation. Years are expressed as whole numbers, and months are
expressed as fractions. For example, the fraction "0/6" would represent 6 months. The
retention code plus the amount of time results in a mathematical formula for calculating
a destruction date.
ACT = Active
An active code is usually assigned to records that are case or project related. The
records are retained “until the case or project is closed.” This code can also be applied
to records where a subjective decision is needed to determine when the records
become inactive, as with a subject file. The record is retained “until it is determined to
be inactive.” The retention period is applied when the ACT condition has been met. For
instance, a case file might be retained until the case is closed (ACT) plus five years.
CR = Creation
A creation code is assigned to records when a definitive retention period can be
assigned. The retention period is usually based on a calendar year and where there are
no conditions that must be met. For instance, correspondence has a two-year retention
period. The retention period begins from the date the correspondence is created or
received.
EXP = Expiration
An expiration code is typically assigned to contracts, grants or other types of
agreements that must be retained until an expiration date or other legal condition has
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been met. For instance, contracts may be held until contract expiration (EXP) plus six
years.
FY = Fiscal Year
A fiscal year code is similar to a CR code. The code is assigned to records when a
definitive retention period can be assigned, however the retention is based on a fiscal
year rather than a calendar year. This retention code is usually assigned to accounting
records and their supporting documentation.
SUP = Superseded
A superseded code is typically assigned to records that are updated or revised at
various times during the records lifetime. Examples would include policies or
procedures. As a policy is updated and the old version is replaced or superseded, only
the current version is needed.
EVT = Event
Event codes are assigned to records when a retention period is based on a future action
or condition. We use this code when we know that a future action or condition will be
met, but we don’t know exactly when it will happen. For instance, deeds are retained to
document the ownership of land by the State of Michigan. If and when the State of
Michigan divests itself of that land, a retention period can be applied to the records. The
records will be retained until the State of Michigan sells the land (EVT).
DISP = Immediate Disposal
Immediate Disposal is a retention code that is used when an agency requires an
authorization to destroy obsolete records upon the approval of their records Retention
and Disposal Schedule. Once the schedule is approved the agency has the legal
authority to destroy the obsolete records.
PERM = Permanent
These records are not authorized for destruction at any point in time and will be retained
in the custody of the creating agency.
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Disposition of Public Records
Retention and Disposal Schedules indicate when and how a public record may be
disposed of. There are two types of record disposition: destruction, or permanent
preservation and public access through a transfer to the Archives of Michigan.
CONFIDENTIAL RECORDS DESTRUCTION
Some public records contain sensitive or confidential information. These records should
not be placed in a regular trash or recycle bin when they are eligible to be destroyed. It
is important that government agencies ensure that these records be destroyed in a
manner that prevents the inappropriate release of the information.
The State of Michigan administers a master contract with a vendor that complies with
the state's requirements for confidential destruction of records. The State of Michigan’s
contract requirements are:
▪ Paper: 1mm x 5mm particle size (can be accomplished with pulverization or
grinding, and all material is recycled)
▪ Film and computer disks: 1/35 inch particle size (can be accomplished with
grinding)
The rates and terms for this contract apply to state government agencies only, but local
governments may contact this vendor for a price quote and information. The contracted
vendor is Rapid Shred. For information about this contract, please contact: Scott Dennis
at 616-735-2900.
SUSPENDING DESTRUCTION
Agencies and their employees must immediately cease the destruction of all relevant
records (even if destruction is authorized by an approved Retention and Disposal
Schedule) if they receive a FOIA request, if they believe that an investigation, audit or
litigation is likely to happen; or if they are notified that an investigation, audit or litigation
has started. If relevant records exist in electronic formats (such as email, digital images,
word processed documents, databases, etc.), the agency must notify their information
technology staff for assistance. Failure to cease the destruction of relevant records
could result in penalties. If an employee does not know whether they have relevant
records, they should discuss the issue with their supervisor.
Legal counsel is responsible for notifying their client when the legal hold is lifted. At that
point, the records can be disposed of in compliance with their approved retention
period. Copies of records may be found in the litigation case files. Those copies should
be retained according to the retention period for the case files. The official version of a
record that was used as evidence should not be retained as part of the case file. Official
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records should be returned by the legal counsel to the agency that owns the records
when the litigation ends.
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Transferring Records to the Archives of Michigan
Local government agencies cannot relinquish legal custody of their public records
without contacting the Archives of Michigan. It is illegal to sell the official copy of a
public record. Per MCL 399.811, the Archives of Michigan has sole discretion on the
disposition of non-active or non-permanent records. Local governments need to contact
the archives prior to making any other storage arrangements. Please contact the
Archives of Michigan at [email protected] to initiate a records transfer.
Local governments that are ready to transfer records (including electronic records) to
the Archives of Michigan need to complete the “Archives Transfer Form.” Be sure to
include a complete description of the records, the inclusive dates for the records, and
the record series number from the Retention and Disposal Schedule on the form.
The Archives Transfer Form may be obtained by contacting the Archives of Michigan at
517-335-2576 or [email protected]. The completed form must be approved by
the Archives of Michigan before the records are transferred. To arrange approval of the
transfer, email the archives at [email protected]. An archivist will review the
form and work with the agency on transfer logistics after it is approved.
Please maintain the order of the original filing system when packing records for transfer
to the Archives. Only pack the records in boxes with the dimensions 15” x 12” x 9.75”,
because other boxes will not fit on the shelves.
To properly seal the box:
1. Fold the back flap first, then fold the side flaps, and fold the front flap on top.
2. Place the tape across the front flap to seal the box.
3. The top and sides of the box should not bulge.
Additional information about the Archives of Michigan is available online at
https://www.michigan.gov/mhc/archives.
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Managing Electronic Records
Public records are created in a variety of formats, and increasingly they are created
using computers. Common computer formats include word processed documents,
electronic mail (email), digital images, databases, spreadsheets, etc. These electronic
records are dependent upon specific computer technology (hardware and software) to
remain accessible. Government agencies that create electronic records are responsible
for ensuring that these records remain accessible for their entire retention period, even
if the original technology becomes obsolete. However, this can be a significant
challenge that requires careful planning, because the average lifespan of most
computer technology is less than 10 years.
Government agencies cannot ignore their responsibility to keep electronic records
accessible and usable. Agencies will need to migrate their electronic records to new
technology on a regular basis, until the record’s retention period expires. Failing to
migrate electronic records can be problematic, because new generations of technology
are not always compatible with those they are replacing. Unfortunately, migration of
electronic records can be very time-consuming and expensive; and for long-term
electronic records, it may need to be repeated many, many times.
There are two types of electronic records that appear to cause agencies the most
concern, email and digital images. Guidelines about these two topics are available
online.
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Disaster Preparedness and Response
Agencies are responsible for managing and protecting records they own and keeping
them accessible and usable for their entire retention period.
Agencies should identify which of their records are vital and need to be protected in
case a disaster occurs. A disaster plan is helpful to define how the agency will try to
prevent disasters and respond to disasters.
If government records are completed destroyed during a disaster and are not
recoverable, the agency should document which records were destroyed, and
when/how the destruction occurred. This information should be kept until the destroyed
records’ retention period is met.
If records are damaged (but not destroyed) during a disaster, the agency is responsible
for recovering those records that have not met their retention period yet. This may
require the services of a vendor that specializes in disaster response or record
restoration. The agency is responsible for all restoration and recovery costs. An online
guide is available to assist with disaster preparedness and response.
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Proper Storage of Records
Information can be recorded on a variety of storage media including paper,
photographs, audio/visual media, microfilm, magnetic tape cartridges, optical disks, etc.
All of these recording media are unstable and are capable of losing the information
stored on them. Recording media require specific environmental conditions if they
contain information that needs to be retained for a significant length of time. Proper
storage conditions are especially important for records with permanent or archival value.
Extreme environmental conditions including heat, cold and dampness will destroy
records very quickly. As a result, the facility used to store valuable records should be
designed to provide an environment that will promote the preservation of the media and
the information therein. Some agencies have created in-house storage vaults for their
valuable records, others have selected outside facilities for their storage needs.
Regardless of where valuable records are stored, proper environmental conditions are
essential if the records are to be preserved.
The following environmental conditions should be addressed when selecting or
designing a storage facility for records:
1. Size: Can the facility hold the volume of records to be stored, as well as future
accumulations?
2. Location: Where is the facility in relationship to the people who need to access the
records? How easy is it to retrieve records from the storage facility?
3. Security: How is access granted to the records? What locks or security devices
protect the records? Who has access to the storage area?
4. Fire Prevention and Suppression System: What fire alarms exist? Is the fire
equipment inspected annually? Is there an emergency plan; are emergency exits
clearly marked and accessible? Is there a water sprinkler or chemical suppression
system? Are pipes that contain running water located in a place where they could
leak on the records? Are class A/B/C fire extinguishers in place?
5. Temperature and Humidity Controls: If the records need to be maintained in ideal
environmental conditions, what system is in place to create and monitor the
environment?
6. Pests: Has the facility had trouble with bugs and rodents? What precautions are in
place to prevent infestation; how is infestation treated; are new shipments screened
for pests?
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RECOMMENDED ENVIRONMENTAL CONTROLS FOR PERMANENT RECORDS
The control of temperature and relative humidity is often cited as the initial step in the
environmental protection of records with permanent or archival value. The following
environmental and storage conditions are recommended for records that need to be
retained for long periods of time:
Storage Media
Temperature
Relative
Humidity
Storage Containers
Paper (preferably acid-free
paper), bound or unbound
records
68 F
55%
Baked enamel steel shelves
or cabinets. Acid-free boxes,
envelopes, folders, etc.
Magnetic recording media,
including audio/video
tapes, and computer tapes
65 F
35-45%
Shelve vertically, in dust-
proof containers
Microforms, including film,
fiche, aperture cards, etc.
(master negatives only)
68 F
45-55%
Shelve vertically.
Boxes/reels should be
stored in non-ferrous metal
or inert plastic.
Photographs (black and
white, color)
68 F
35-40%
Individually store in acid-
free, seamless envelopes.
Negatives (safety-based
film)
68 F
45-55%
Individually store in acid-
free, seamless envelopes.
(Do not store negatives with
prints)
Slides
68 F
45-55%
Store vertically, in an inert
plastic container or carousel.
Optical disks
65-75 F
30-50%
Store each optical storage
disk in a protective cartridge
and shelve vertically.
Combined media
68-72 F
45-49%
Store each media type
separately.
The most important environmental consideration is to protect against daily fluctuations
in temperature and relative humidity. The above noted conditions should not vary more
than 2-3% during any 24-hour period.
