Procurement & Support
Services
Records Management Procedure |
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Definitions
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I. DEFINITIONS
A. Office of Record
The office of record is the
University office designated as the primary repository for a
record and
has the primary
responsibility for producing the record if needed for audit
or other purposes. The
office of record is not
necessarily the office of origin.
B. Records
Records created or received by
University officers or employees in the course of their
duties, are
produced in a variety of
physical forms. Records include books, documents, maps,
drawings,
photographs, letters, vouchers,
papers, and any other means of recording information stored
by
graphic, electronic or
mechanical means.
C. Records Disposition
Destruction or systematic
transfer of records to archival storage that are no longer
needed for
everyday operations, frequent
reference, or satisfaction of external agency requirement.
D. Records Management
Records Management is the
application of systematic control of recorded information
that is
required in the administration
and operation of University activities. The services
provided by a
records management system
include correspondence management, manuals and directives
management, forms management,
files management, records retention scheduling, disaster
planning, vital records
programs, records storage, records conversion, and archival
programming.
E. Retention Period
The length of time a record
must be maintained to satisfy the purposes for which it was
created,
and to fulfill the legal, fiscal,
historical, and administrative requirements of the
University and
interested external agencies.
F. Records Retention Schedule
Records retention
schedule is an established timetable for maintaining
University records. It
defines all actions to be taken
relative to the disposition of records.
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Value of
Records |
All records should be appraised in relation to their
purpose, period of usefulness, and value to the
University. Records that reach a file or other housing should
have legal, fiscal, historical or
administrative value. The following definitions are provided
to assist in appraising the purpose and
value of University records.
A. Administrative Purpose
Records
created to help accomplish the functions for which an
office is responsible have
administrative value as long as they assist the office
to perform current or future activities.
B. Fiscal Purpose
Records
of fiscal value are those that pertain to financial
transactions such as budgets, ledgers,
payrolls, and purchases. After records have served their
basic administrative function they may
still
have sufficient fiscal value to justify their retention
by providing an audit trail of expended
funds.
C. Historical Value
Some
records have enduring value to the University because
they reflect historical events or
document the history and development of the University,
one of its offices, or a University event.
D. Legal Purpose
Records have legal value if they contain evidence of
legally enforceable rights or obligations of
the University, or constitute items to fulfill legal
requirements. Examples are records that provide
the basis for action such as leases, deeds, agreements,
licenses, and records of action in
particular cases such as claim papers and legal dockets.
E. Personnel Issues
Currently five (5) types of personnel files within the
University and supporting units. These are:
Official University Personnel File, Official
Medical/Personnel File, Unit Shadow File, Personnel
Action
File (faculty unit employees only), and the Anecdotal
File. These files are maintained for
specific reasons and have legal implications. Human
Resources and Equal Opportunity provides
guidelines for this purpose, the type of information
that may legally be retained, the access to,
length
of retention, and Office of Record for these five types
of files.
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Vital
Records |
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Two kinds of University records are classified as
vital
1. Records that are essential to the protection of
the rights of individuals.
2. Records that are essential to the protection of the
University’s rights and/or execution of its public
(contractual) obligations.
Departments designated as the Office of Record for
these records are responsible for identification
and protection of vital
records.
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Responsibilities |
A.
Property Clerk Responsibility
1. Provide department with written information
regarding retention and disposition of records.
a) Provide guidelines.
b) Meet regularly with
unit liaisons.
2. Oversee status of confidential records
including access, storage and destruction.
a) Be available to
coordinators of confidential records at
specified times to identify action needs for
specific records.
b) Update log to record
specific action taken within unit.
3. Collect records retention schedules and
procedural documentation for all campus
departments.
4. Be available to assist individual units in
developing departmental retention schedules and
procedures.
5. Facilitate storage and disposition of
university records with Materials Management
and/or outside
contractors.
6. Assist in identifying official Office of
Record for records, which might be kept by
multiple units.
a) Provide assistance to all units to establish
Office of Record.
b) Record designated Office of Record in
official university policy and procedures.
B. College and Department Responsibilities
University colleges and departments are
responsible for maintaining university records
in accordance
with federal, state and CSU requirements
that are applicable to the respective
university, college or
department, and which provide protection to
the rights of individuals and the university.
Costs related
to the retention and disposition of vital
university records shall be charged to the
designated Office of
Record. Any college or department retaining
or disposing of non-vital or duplicate vital
university
records are responsible for the expense of
retaining or disposing of these records.
It is recommended that each college/department:
1. Identify the appropriate
Office of Record for specific University
records.
2. Assign one individual
responsibility for monitoring their Records
Management Program.
3. Appraise records in its
custody to determine if the records have legal,
fiscal, historical, or
administrative value. When questionable, Library
and Information Services can provide guidance
regarding the archival value of a record.
4. Identify vital records and
establish necessary, internal procedures for
their protection.
5. Dispose of records in
accordance with established disposition
schedules.
6. Manage the retention and
disposition of vital University records within
the designated Office of
Record.
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Disposing of
Records |
A. The routine disposition of University
records is best established by the
designated Office of Record
based upon federal,
state, and CSU guidelines for records
retention and disposition. Disposition
schedules should be
developed and revised to reflect these
guidelines by the respective Office of
Record.
B. Generally, paper records may be put
into recycle containers. Records
containing confidential
information are to be
shredded and disposed of appropriately
by the Office of Record.
C. The disposition process follows:
1. Unit
identifies records for disposal, boxes,
and dates the boxes.
2. Unit
completes an Archival form. Use a
separate form for each “disposal date”.
3. Unit
submits one copy of Archival form to
Materials Management. Authorized
signatures are
required.
4. Unit
retains one copy for their files.
5. If charges
will incur, the unit will be contacted
prior to the destruction date. Materials
Management will notify each appropriate
Office of Record, by e-mail, of the
number of boxes
currently in the archives that are due
for destruction, and an estimate of
costs for the proposed
destruction.
6. Records
destruction is scheduled as needed.
Departments must notify Materials
Management
in writing thirty (30) days prior to
destruction date to continue to retain
the records.
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