Transcript Document

Why do I need to keep all these
records? “It’s the law!”
Madeleine Bagwell Perez
University Archives / Records Management Program
UNC Charlotte - Atkins Library - Special Collections
Session Etiquette
• Please turn off all cell phones.
• Please keep side conversations to a minimum.
• If you must leave during the presentation, please do so
as quietly as possible.
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The University of North Carolina
16 campuses plus
NC School of Science & Math
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The University of North Carolina
• The University of North Carolina and its campuses are
considered state agencies.
• Disposition of records governed by law:
North Carolina General Statutes
Chapters 121 & 132.
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The University's Records are Public Records
“Unless specifically exempted by law, the records of The University of North
Carolina, a State-supported institution, are public records as defined by
Chapters 121 and 132 of the General Statutes of North Carolina:
"Public record" or "public records" shall mean all documents, papers, letters,
maps, books, photographs, films, sound recordings, magnetic or other tapes,
electronic data-processing records, artifacts, or other documentary material,
regardless of physical form or characteristics, made or received pursuant to law
or ordinance in connection with the transaction of public business by any
agency of North Carolina government or its subdivisions. Agency of North
Carolina government or its subdivisions shall mean and include every public
office, public officer or official (State or local, elected or appointed), institution,
board, commission, bureau, council, department, authority or other unit of
government of the State or of any county, unit, special district or other political
subdivision of government.”
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The University's Records are Public Record
Continued
“Almost all University records are public property and
constitute a record of public acts. Accordingly, they must
remain in the custody and control of the University which
created them or received them pursuant to law. They may
be disposed of only in accordance with the provisions of
General Statute Section 121-5(b). Rules and regulations
regarding the implementation of this statute have been
adopted by the North Carolina Historical Commission;
oversight for compliance has been given to the North
Carolina Department of Cultural Resources' Office of
Archives and History.”
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The Government Records Branch
part of the Archives and Records
Section, North Carolina
Department of Cultural Resources.
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The Government Records Branch
Continued
“The primary mission of the Government Records Branch is
to provide and administer records management services to
state government agencies, local government agencies,
and state-supported institutions of higher education in
North Carolina in accordance with General Statutes 121
and 132 and the mandate provided in these laws for the
preservation of the historical record of this state.”
http://www.records.ncdcr.gov/colleges.htm
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Survey of UNC Campuses
Using a simple search for “records management” at
constituent campus websites:
• First try usually produces results.
• 14 lead to University Archives (Library).
• 3 centered elsewhere [Chancellor, ITS].
• 5 list a records manager; 2 dedicated records centers.
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Records Management Program at
UNC Charlotte
• First general campus schedule written in 1970.
Superseded in 1991 by a general University Records
Retention and Disposition Schedule issued by the
Government Records Branch.
• Until 2007 focus was on creation of individual office
schedules.
• Policy regarding retention, disposition, and security of
university records (Policy Statement #37) initially
approved May 1996.
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Records Management Program at
UNC Charlotte
Continued
• Updated January 2011, University Policy 605.3,
Retention, Disposition, and Security of University
Records restates:
“Unless specifically exempted by law, the records of the University
are "public records," defined by State law. Accordingly, they must
remain in the custody of the University and be disposed of only as
provided by State law. The implementation of this policy has been
delegated the University Archivist. The Archivist, with the
Chancellor's approval, promulgates guidelines and procedures for
the handling of records. Each campus administrator is responsible
for assuring that policies and procedures are in place for adherence
to segments of this policy.”
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Records Management Program at UNC
Charlotte
Continued
• Currently use UNC (System) General Records Retention
and Disposition Schedule (approved 2007) as default.
• Hosted by Office of Legal Affairs on its website:
https://legal.uncc.edu/sites/legal.uncc.edu/files/media/UNCGeneralSchedule.pdf
• Call University Archives Office to discuss specific
schedule needs – x71166 (704-687-1166) or by email:
[email protected]
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Program-specific schedules
• Need a schedule for specific office records, not
covered by the General Schedule, we can write one
for you.
• Submit to Government Records Branch, for approval.
• Once approved, implement schedule in office.
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Services we offer:
• Interpretation of schedules with input from Legal
Affairs, Internal Audit, and Human Resources.
• Transfer of historical material to University Archives.
•
Reference/retrieval of records for campus offices.
•
Limited record center storage facilities for permanent
non-historical records.
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University Archives
• Established 1970.
• Hold the historical records of UNC Charlotte & its
predecessor institutions: Charlotte Center & Charlotte
College.
• Collect and provide access to the non-current,
permanently valuable, university records: including all
major campus divisions and offices, faculty governance,
and student life.
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UNC Charlotte Records
Retention Schedule Update
Phil Maher/Madeleine Perez
UNC Charlotte
Controlling Documents
• Current UNC Charlotte Record Financial Services
Retention Schedule
• UNC General Administration Schedule adopted 2007
• North Carolina State Agency Schedule adopted 2009
• UNC Charlotte Policies 101.8, 311, 402, 605.2, 605.3
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Changes Financial Services Record Retention
Schedule
• Expanded the records to include more types that
Financial Services staff may retain
• Formatted the schedule to match what UNC General
Administration and State Agencies follow
• In most cases adopted the more stringent retention
requirements
• Minor wording changes to match State accepted
requirements
• Group like records together
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Series Areas
• Administrative
• Financial
• Accounting
• Budget
• Purchasing
• Payroll
• Student Accounts
• AP/Travel
• Foundation/Trust Fund/Endowment
• Administrative Systems
• Departmental Personnel
• Tax
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Example of Records Schedule
Disposition (transfer includes appraisal and final disposition to be
determined by the University Archivist)
Series
Description
Items
Administrative
Administrative and official daily
operations of an individual office.
reports, memoranda,
correspondence, directives
Agreements, Contracts, and Leases
Compliance Citation
Record Custodian
Administrative Records
Original: Transfer to University Archives after 5 years.
Reference: Destroy in office when reference value ends.
All
With consultants, vendors and other
correspondence, memoranda
firms concerning services, equipment and
obligations.
Original: Destroy in office 5 years after expiration of all rights and obligations. For
sealed agreements, destroy in office 10 years after expiration of all rights and
obligations.
Reference: Destroy in office when reference value
ends.
Materials Management
Annual Reports
Report of work completed by office, unit,
department, division, college/school each
year.
Original: Transfer 1 copy to University Archives when completed; retain 1 copy in
office permanently.
Reference: Destroy in
office after 3 years when reference value ends.
All Managers
Committees, Councils, Task Forces
Official university committees, councils or correspondence, minutes,
Original: Transfer to University Archives at end of academic year or at expiration of
task forces appointed, elected or ad hoc notifications of meetings, agendas, group.
Reference: Destroy in office when
reports, briefing materials, working reference value ends.
papers
All Committee, Council or
Task Force Chairs
Complaints
Complaints concerning services.
correspondence
All
Conferences, Training Programs and
Workshops – Conducted
University initiated or sponsored
conferences, programs, or workshops.
correspondence, agendas, handouts, Original: Transfer to University Archives after 5 years.
training materials, critiques, reports, Reference: Destroy in office when reference value ends.
contracts, registration
All
E-Mail
Message File
Electronic mail (e-mail) messages
sent or received pursuant to law or
ordinance in connection with the
transaction of public business by the
university
All
Destroy in office after 2 years.
E-mails sent or received shall not be permanently deleted or moved from an
Executive Order #18 2009
employee’s e-mail account for at least 24 hours, except that any e-mail messages
received that are not clearly related to the transaction of State business, such as emails containing advertising materials or offensive materials may be immediately and
permanently deleted.
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Next Steps
• AVC approves final version
• University Archivist reviews
• Submit final version to North Carolina Dept. of Cultural
Resources Office of Archives and History
• Once approved publish on Financial Services Web Page
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Reference Documents
• UNC GA General Records Retention and Disposition
Schedule 2007
• General Schedule for State Agency Records 2009
• UNC Charlotte Financial
ServicesRetentionGuide2005.pdf
• UNC Charlotte Financial Services Records Retention
Schedule 2012
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