Preserve or Pitch: Managing University Records

1. Preserve or Pitch: Managing University Records May 2011 Vicki Cooper Special Collections & Archives

2. Why • More space, less clutter … • more organized and efficient • University Policy • AR-II-8.0-3 Records Management Policy • State Law

3. All public records in Kentucky are subject to the terms of: Kentucky’s State Archives and Records Act (KRS 171.410—171.740)

4. What are Public Records? Defined by Kentucky statute they are: “all books, papers, maps, photographs, cards, tapes, disks, diskettes, recordings and other documentary materials, regardless of physical form and characteristics, which are prepared, owned, used, in the possession of or retained by a public agency.” KRS 171.410 (1)

5. Helping you to …. avoid becoming a felon! Tampering with public records without the authority to do so is a Class D felony. KRS 519.060 (1) (b)

6. Steps • Identify what records you have. • Find the record series on retention schedule. • Title • Contents • Dates • Volume • Follow retention requirements. • Complete forms. • Receive approval, then proceed with transfer or destruction. l

7. Identify • Inventory sheet • Type of record • Who created and why • Official versus General Correspondence • Record versus department copy • Dates • Volume – cubic feet or MB

8. Label records • Do it once…Do it right. • Identify records, find series, label all records/storage containers with that information • Label as records are created

9. Electronic Records • Directory and Folder Structure Office wide adoption best • Naming Establish and follow standard naming convention • Security Control access… shared drives • Back up When, what format and where stored

10. Filing Example for Electronic Records

11. Recommendations • Start immediately, even if only small steps. • Don’t create unnecessary records. • Reduce duplicate copies. • Create and use a file structure for all records, no matter what format. The Result:

12. Records that are EASY to: • Organize • Retrieve • Preserve • Delete or Transfer

13. When your office no longer uses or needs a set of records… • Permanent • Office keeps • Transfer Archives • Temporary storage • Label with completed destruction certificate, inside and outside of container • Destruction date boldly labeled • Destroy • Just b/c schedule says can doesn’t mean must. • Do you still use it? Information available elsewhere?

14. Retention Schedule • State University Model Retention Schedule • All Kentucky state universities use. • Organized by major functional groups • Use search function…try different terms • Commonly Used Series

15. Schedule Outline • A. Miscellaneous Records • B. Fiscal Records • C. Awards Committees • D. Student/Course Records • E. Libraries/Archives/Museums • F. Personnel/Payroll • G. Buildings/Grounds/Physical Plant • H. Purchasing • I. Athletics • J. Food Services • K. Bookstore • L. Campus Police • M. Financial Aid • N. Real Property • O. Medical Facilities • P. Sponsored Programs • R. Legal • S. Electronic and Related Records Master Files • T. Administration Services Development Office • U. Animal Diagnostic Laboratories • V. Plant Disease Diagnostic Laboratory

17. Next Step…. Forms

18. Records Destruction • Records past their retention period can be destroyed • Records destruction must be documented by completing a Records Destruction Certificate Exception • Records with litigation holds

19. Records Destruction Certificate • Proof of authorized destruction (Felony avoidance) • Must complete all parts • Needs records custodian signature • University Records Officer must approve before destruction • Original filed with the KDLA in Frankfort

20. Records Destruction Certificate • This certificate provides your legal proof of authorizedrecords destruction • Form is available on the Records Management website

21. The Form

22. The Form...continued Your Signature

24. Records Destruction Certificate • This certificate provides your legal proof of authorizedrecords destruction Felony avoidance

26. Record Transfers • Permanent Retention – permanent records with historical significance are transferred to Special Collections and Archives

27. Archives Collecting Guidelines Colleges, Schools, Research Centers, Institutes & Departments • Meeting minutes and agendas • Official correspondence – especially from department heads • Policies, guidelines, reports • Organizational charts, staff lists • Publications • Photographs-names, dates, place/event • Information on events, meetings, participants • Recordings of events, lectures, presentations, publicity • Any other records which document/describe your department, its history and function

30. NKU’s Faculty & Staff Web Page

31. NKU Records Management Homepage

32. Liaisons • Advancement Anne Herbert • Legal Affairs Cathy Dewberry • Student Affairs Barb Barnes • Planning, Policy, and Budget Dina Neumann • Administration and Finance Amy Fries • Internal Auditing Rachel Brueggen • Office of the President Casey Lundberg • Chase College of Law Gina Bray & Jenny Young • Honors Program Rita Thomas • College of Informatics Pam Wagar • College of Business Geoff Kerckaert • Educational Outreach Diana Vonhagel • Graduate Programs Peggy Allen • Research, Grants & Contracts Kellie Campbell • NKU Foundation Charita Brewer • Vice Provost Connie Witte • College of Arts & Sciences Heather Howard • College of Health Professions Tracy Brate • College of Education & Human Services Melissa Decker as of 5/12/10

33. Questions?