Code of Maine Rules
29 - DEPARTMENT OF THE SECRETARY OF STATE
255 - MAINE STATE ARCHIVES
Chapter 1 - STATE AGENCY RECORDS PROGRAMS
Section 255-1-13 - DESTRUCTION OF RECORDS

Universal Citation: 29 ME Code Rules ยง 255-1-13

Current through 2024-38, September 18, 2024

A. State agency disposal authority

The following guidelines apply for the destruction of State government records:

1. Records must be on approved record retention schedules and be authorized for destruction in accordance with retention and disposition guidelines established by the Maine State Archives.

2. State records may not be destroyed if any active or pending litigation, audit, open records request, or appeal of an open records decision, that involves the records is in question. This applies until the completion of the action and the resolution of all issues that arise from the action, or until the expiration of the retention period, whichever is later.

3. Records must no longer be required under any other legislation, and all statutory and regulatory requirements are fulfilled.

4. Disposal authorizations contained in records retention schedules approved by the Maine State Archives are automatically superseded by approval of a later schedule applicable to the same records.

5. Agency records stored at the State Records Center shall only be destroyed when retention requirements have been fulfilled and a disposition notification has been signed by a Records Officer providing authority to destroy the records. Records stored at the Maine State Archives shall not be destroyed, unless, upon further inspection and agreement by all parties, they are de-accessioned because it is determined they are not of archival value.

B. Local agency disposal authority

The following guidelines apply for the destruction of local government records:

1. A local record may be destroyed by an agency if the record appears on the Local Government Record Retention Schedules approved by the Maine State Archives. Requests for disposition of records not specified in the schedules shall be made in writing to the State Archivist, accompanied by sample copies of the records involved.

2. Local records may not be destroyed if any active or pending litigation, audit, open records request, or appeal of an open records decision, that involves the records is in question. This applies until the completion of the action and the resolution of all issues that arise from the action, or until the expiration of the retention period, whichever is later.

3. Records must no longer be required under any other legislation, and all statutory and regulatory requirements are fulfilled.

4. Local agencies shall keep permanent documentation of final disposition of records, describing records disposed of and manner and date of disposition; providing evidence that records have been disposed of per approved retention schedules.

C. Emergency authorization for the disposal of records

Whenever the head of an agency has determined that records have been contaminated by inflammable or poisonous substances which render them hazardous to health or property, they shall notify the Maine State Archives specifying the nature of the records, their location and quantity, and the nature of the contamination. If the Maine State Archives concurs in the determination, the removal of the contaminated records by the destruction of the records or by other appropriate means will be authorized.

D. Methods of destruction

Agencies shall comply with the following rules governing the methods to be used in disposing of records. Only the methods set forth in this subsection shall be used.

1. Records shall be disposed of with the same level of security that was maintained during the life of the records. Wherever possible, destruction of records shall be supervised by an officer of the agency or by another authorized agent if destruction has been contracted out. Extra care will be given to records containing confidential information. Acceptable methods include shredding, incineration pulping and pulverization.

2. Agencies will receive a certificate of destruction from the contractor as proof of accountability in cases where records that were supposed to be destroyed are subsequently found. This certificate will show the agency is not at fault.

3. Records containing identifiable data must be destroyed in a manner that makes it impossible to reconstruct and read the information. Records and protected information cannot be disposed of without some type of shredding or obliteration. Documents awaiting destruction should be housed in secure collection containers.

4. On-Site: Destruction companies do offer on-site services where trucks with industrial shredders come to the facility to perform the service. A business associate agreement with the destruction company should detail the location of the destruction, method of destruction and require proof of destruction.

5. Off-Site: If the records are destroyed off-site through a destruction company, a business associate agreement should detail the safeguarding practices while the records are in transit, time that will elapse between acquisition and destruction, method of destruction. Proof of destruction must be required.

6. Electronic Records and Information
a. Wherever possible, destruction of electronic records (according to disposition specified on retention schedule) should be supervised by a Records Officer of the agency or by another authorized agent (IT staff).

b. Electronic records must be destroyed in a consistent and systematic manner to comply with approved retention schedules, remove PII, and ensure consistency in case of FOAA, audit or other legal action.

c. Agencies must receive documentation for those electronic records stored through outside vendors (such as cloud storage) to confirm that proper deletion has occurred.

E. Unlawful removal or destruction of records

1. The head of each agency shall establish safeguards against the unlawful removal or loss of records, including making it known to officials and employees of the agency that records in the custody of the agency are not to be alienated or destroyed except in accordance with law; and the penalties provided by law for the unlawful removal or destruction of records.

2. Whoever knowingly and willfully removes any book, record, document, or instrument, belonging to, or kept in any state office, except books and documents kept and deposited in the State Library, or knowingly and willfully secretes, alters, mutilates, defaces or destroys any such book, record, document or instrument, or knowingly and willfully aids or assists in so doing, or, having any such book, record, document or instrument in his possession, or under his control, willfully neglects or refuses to return the same to said state office or to deliver the same to the person in lawful charge of the office where the same were kept or deposited, shall be punished by a fine of not more than $5,000 and by imprisonment for not less than one year nor more than 3 years. ( 1 M.R.S.A. §452) .

Disclaimer: These regulations may not be the most recent version. Maine may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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