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: mbperez@uncc.edu

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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.

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

Series Description Items

Disposition (transfer includes appraisal and final disposition to be determined by the University Archivist) Compliance Citation Record Custodian

Administrative Records

Administrative Administrative and official daily operations of an individual office.

reports, memoranda, correspondence, directives

Original: Transfer to University Archives after 5 years. Reference: Destroy in office when reference value ends.

All

Agreements, Contracts, and Leases With consultants, vendors and other firms concerning services, equipment and obligations.

correspondence, memoranda 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 task forces appointed, elected or ad hoc

correspondence, minutes, notifications of meetings, agendas, reports, briefing materials, working papers

Original: Transfer to University Archives at end of academic year or at expiration of group. Reference: Destroy in office when reference value ends.

All Committee, Council or Task Force Chairs

Complaints Complaints concerning services. correspondence Destroy in office after 2 years. All

Conferences, Training Programs and Workshops – Conducted

University initiated or sponsored conferences, programs, or workshops.

correspondence, agendas, handouts, training materials, critiques, reports, contracts, registration

Original: Transfer to University Archives after 5 years. Reference: Destroy in office when reference value ends.

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

E-mails sent or received shall not be permanently deleted or moved from an 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 e-mails containing advertising materials or offensive materials may be immediately and permanently deleted.

Executive Order #18 2009 All

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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